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NORTH CAROLINA 

REGISTER 



VOLUME 11 


• ISSUE 4 • Pages 181 - 269 




May 15, 1996 


MAY *'< 1996 1 






IN THIS ISSUE 


' "" 


Final Decision Letter 




Acupuncture Licensing Board 




Administration 


: . 


Cultural Resources 




Environment, Health, and Natural Resources 




Human Resources 




Justice 




Medical Board 




Psychologists, Board of Practicing 




Revenue 




Soil Scientists, Board for Licensing of 




Substance Abuse Professionals Certification 




List of Rules Codified 
Rules Review Commission 




Contested Case Decisions 



PUBLISHED BY 

The Office of Administrative Hearings 
Rules Division 
PO Drawer 27447 
Raleigh, NC 27611-7447 
Telephone (919) 733-2678 
Fax (919) 733-3462 



This publication is printed on permanent, acid-free paper in compliance with G.S. 125-11.13 



NORTH CAROLINA 




Volume 1 1 , Issue 4 
Pages 1 8 1 - 269 



May 15, 1996 



This issue contains documents officially 
filed through April 24, 1996. 



Office of Administrative Hearings 

Rules Division 

424 North Blount Street (27601) 

PO Drawer 27447 

Raleigh, NC 27611-7447 

(919) 733-2678 

FAX (919) 733-3462 



Julian Mann III, Director 

James R. Scarcella Sr., Deputy Director 

Molly Masich, Director of APA Services 

Ruby Creech, Publications Coordinator 

Teresa Kilpatrick, Editorial Assistant 

Jean Shirley, Editorial Assistant 



IN THIS ISSUE 

I. IN ADDITION 

Environment, Health, and Natural Resources 

Wildlife Resources Commission 182 

Voting Rights Act 181 

II. RULE-MAKING AGENDA 

Environment, Health, and Natural Resources 

Coastal Management 183-187 

Environmental Health/Health Services 183-187 

Environmental Management 183 - 187 

III. PROPOSED RULES 
Cultural Resources 

USS NORTH CAROLINA Battleship 188 

Environment, Health, and Natural Resources 

Coastal Resources Commission 190-191 

Wildlife Resources Commission 191 - 193 

Human Resources 

Child Day Care Commission 188-190 

IV. TEMPORARY RULES 

Administration 

State Building Commission . 194 - 196 

Human Resources 

Medical Assistance 196 - 199 

Licensing Boards 

Soil Scientists, Board for Licensing of 200 - 204 

V. APPROVED RULES 

Environment, Health, and Natural Resources 

Health Services 209 - 21 1 

Human Resources 

Medical Assistance 207 - 208 

Medical Care Commission 206 - 207 

Justice 

Attorney General/Company Police 208 - 209 

Licensing Boards 

Acupuncture Licensing Board 220 - 221 

Medical Board 221-236 

Psychologists, Board of Practicing 236 - 238 

Substance Abuse Professionals Certification 238 - 247 

Revenue 

Individual Income Tax Division 211 - 212 

Sales and Use Tax 212-220 

VI. LIST OF RULES CODIFIED 248-256 

VII. RULES REVIEW COMMISSION 257-264 

VIII. CONTESTED CASE DECISIONS 

Index to ALJ Decisions 265 - 268 

IX. CUMULATIVE INDEX 1-14 



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IN ADDITION 



This Section contains public notices that are required to be published in the Register or have been approved by the 
Codifier of Rules for publication. 



U.S. Department of Justice 

Civil Rights Division 

DLP:DHH:RA:emr:lrj Voting Section 

DJ 166-012-3 P.O. Box 66128 

96-0523 Washington, D.C. 20035-6128 

April 5, 1996 

David A. Holec, Esq. 

City Attorney 

P.O. Box 1388 

Lumberton, North Carolina 28359 

Dear Mr. Holec: 

This refers to the January 22, 1996, annexation to the City of Lumberton in Robeson County, North Carolina, 
submitted to the Attorney General pursuant to Section 5 of the Voting Rights Act, 42 U.S.C. 1973c. We received your 
submission on February 5, 1996. 

The Attorney General does not interpose any objection to the specified change. However, we note that the 
failure of the Attorney General to object does not bar subsequent litigation to enjoin the enforcement of the change. See 
the Procedures for the Administration of Section 5 (28 C.F.R. 51.41). 



Sincerely, 

Deval L. Patrick 

Assistant Attorney General 

Civil Rights Division 



By: 



Elizabeth Johnson 
Acting Chief, Voting Section 



11:4 NORTH CAROLINA REGISTER May 15, 1996 181 



IN ADDITION 



North Carolina Wildlife Resources Commission 

512 N. Salisbury Street, Raleigh. North Carolina 27604-1188, 919-733-3391 
Charles R. Fullwood, Executive Director 



PROCLAMATION 

Charles R. Fullwood, Executive Director, North Carolina Wildlife Resources Commission, acting pursuant to North 
Carolina General Statute §1 13-292 (clj and authority duly delegated by the Wildlife Resources Commission, hereby declares 
that effective at 12:00 midnight on Wednesday, April 17, 1996, the season for harvesting striped bass by hook-and-line is 
closed in all inland and joint waters of the Roanoke River Striped Bass Management Area. 

The Roanoke River Striped Bass Management Area is defined as the inland and joint fishing waters of the Roanoke 
River, extending from its mouth to Roanoke Rapids Dam and all tributaries of the Roanoke River, including but not limited 
to, the Cashie. Middle, and Eastmost Rivers and their tributaries. 

This proclamation shall remain in effect until a new proclamation reopening the described waters or portions thereof 
for striped bass fishing is issued. 

NOTES: 

a) This Proclamation is issued under the authority of N.C.G.S. §§1 13-132; 1 13-134; 1 13-292; 1 13-304: and 
113-305. 

b) [he striped bass harvest quota for the hook and line sport fisher} ot the Roanoke Rr.er Striped Bass 
Management .Area has been met. and the area is closed for striped bass fishing until reopened as prescribed 
herein. 

c) .All striped bass regardless of condition taken subsequent to the effective date and time of this Proclamation 
shall be immediately returned to the waters where taken and no striped bass may be possessed. 

d) Any person who violates this Proclamation also violates applicable law and is subject to the sanctions 
provided by law. 

NORTH CAROLINA WILDLIFE RESOURCES COMMISSION 

by: Charles R. Fullwood Date: 04/10/96 

Executive Director 



182 NORTH CAROLINA REGISTER May 15, 1996 11:4 



RULE-MAKING AGENDA 



TITLE ISA 
DEPARTMENT OF ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 

This supplemental agenda will serve as the notice of rule-making proceedings for the following rule-making bodies 
from May 15, 1996 through July 15, 1996: 

Environmental Management Commission - to rules codified in 15A NCAC 2; 
Coastal Resources Commission - to rules codified in 15A NCAC 7; 
Commission for Health Services - to rules codified in 15A NCAC 18A; 

This agenda was previously published in 10:18 NCR 2317-2397 in it's entirety. 

DEHNR Regulatory Agenda Index - April 24, 1996 

COASTAL MANAGEMENT 



APA# 


SUBJECT 


RULE CITATION # 


E1951 


General Use Standards for Hazardous 
Areas 


15A NCAC 7H .0306 


E1952 


General Permits (General Conditions) 


15A NCAC 7H .1104, .1204, .1304, .1404, .1504, 
.1604, .1704, .1804, .1904, .2004 and .2104 


E1953 


Reserve Components: 
Reserve Use Requirements 


15A NCAC 70 .0105, .0202 


ENVIRONMENTAL HEALTH/ENV. HEALTH SERVICES 


APA# 


SUBJECT 


RULE CITATION # 


H6250 


Child Nutrition Programs 


15A NCAC 21 J .0101 (This rule may be filed as a 
temporary rule) 


H6251 


Child Nutrition Programs 


15A NCAC 21 I .0101 


H6259 


Rules Governing the Sanitation of 
Lodging Places 


15A NCAC 18A .1805 


ENVIRONMENTAL MANAGEMENT/AIR OUALITY 




APA# 


SUBJECT 


RULE CITATION # 


E1838 


Address Correction 


15A NCAC 2D .0104, .0105, .0501, .0953 & .1305 
15A NCAC 2Q .0104, .0307 & .0521 


El 937 


Incinerators 


15A NCAC 2D .1204 and .1206 


El 939 


Visible Emissions 


15A NCAC 2D .0521 



DEHNR Regulatory Agenda - April 24, 1996 

APA #: E1838 

SUBJECT: Address Correction 

RULE CITATION #: 15A NCAC 2D .0104, .0105, .0501, .0953 & .1305; 2Q .0104, .0307 & .0521 

AUTHORITY: G.S. 150B-21.6; 143-215. 3(a)(1); 150B-21.2(b); 143-215. 107(A)(3), (7); 143-215. 107(a)(5); 

119-26; 

143-215.108; 143-215.109; 143-215.4(b); 143-215.3(a)(l), (3); 143-215. 107(a)(10); 143-215.111(4) 

DIVISION/SECTION: ENVIRONMENTAL MANAGEMENT/ ATR QUALITY 

DIVISION CONTACT: Thomas Allen 

DIVISION CONTACT TEL#: (919)733-1489 

DATE INITIATED: 4/3/96 

DURATION OF RULE: Permanent 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Concept Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION : 

To change the mailing address for the Air Quality Section. 
SCOPE/NATURE/SUMMARY : 



11:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



183 



RULE-MAKING AGENDA 



The Air Quality Section has a new post office box. Eight rules need to be amended to correct the post 
office box. These rules are 15A NCAC 2D .01», .0105, .0501. .0953, and .1305 and 2Q .0104, .0307, 

and .0521. 

APA #: E1937 

SUBJECT: Incinerators 

RULE CITATION #: 15A NCAC 2D .1204 and .1206 

AUTHORITY: G.S. 143-215. 3(a)(1): 143-215. 107(a)(4), (5); 143-215. 107(a)(5) 

DIVISION/SECTION: ENVIRONMENTAL MANAGEMENT/ AIR QUALITY 

DIVISION CONTACT: Thomas Allen 

DIVISION CONTACT TEL#: (919)733-1489 

DATE INITIATED: 4/3/96 

DURATION OF RULE: Permanent 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Concept Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION : 

To clarify that temperature measuring devices are required to have a quality assurance program and to 
eliminate the primary chamber temperature requirement for medical waste incinerators. 

SCOPE/NATURE/SUMMARY : 

15A NCAC 2D .1204, Reporting and Recordkeeping, requires "monitoring devices and systems" to have 
a quality assurance program under Paragraph (d). While 15A NCAC 2D .1204(d) only uses the phrase 
"monitoring device and systems", it was the original intent that this phrase include and be synonymous 
with"measuring and recording device." (Paragraph (a) of this Rule requires continuous temperature 
measuring and recording devices.) This Rule needs to be revised to clarify this intent. 

Under 15A NCAC 2D .1206, Operational Standards, the primary chamber of a medical waste incinerator 
is required to be at least 1200 degrees fahrenheit. There is some ambiguity whether material can be loaded 
into the incinerator and the primary chamber brought up to 1200 degrees fahrenheit or the primary chamber 
is to be at 1200 degrees fahrenheit before any material is loaded. The temperature requirements in the air 
quality rules for medical waste incinerators come from solid waste management rules. The temperature 
requirements are intended to be the same as those in solid waste management rules, so the owner or 
operator of the incinerator would have only one set of temperature requirements to meet. Although the 
primary chamber temperature serves a solid waste management purpose, it does not serve any air quality 
purpose. To eliminate the confusion that the primary chamber temperature requirement has caused in the 
air quality rules, it should be removed. (The rule will retain the requirement that gases in the secondary 
chamber are subject to at least 1800 degrees fahrenheit for least one second, which ensures that proper aii 
pollution control is achieved.) 

APA #: E1939 

SUBJECT: Visible Emissions 

RULE CITATION #: 15A NCAC 2D .0521 

AUTHORITY: G.S. 143-215. 3(a)( 1); 143-215. 107(a)(5) 

DIVISION/SECTION: ENVIRONMENTAL MANAGEMENT/ AIR QUALITY 

DIVISION CONTACT: Thomas Allen 

DIVISION CONTACT TEL#: (919)733-1489 

DATE INITIATED: 4/3/96 

DURATION OF RULE: Permanent 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Concept Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION : 

To use consistent terminology in the visible emission rule and possibly change the opacity limit. 

SCOPE/NATURE/SUMMARY : 

15A NCAC 2D .0521. Control of Visible Emissions, uses a different phrase to describe pre-July 1, 197 
sources and post July 1, 1971 sources. The pre-July 1, 1971 phrase is "for sources existing as of July 1 
1971." The post July 1, 1971 phrase is "for sources established after July 1, 1971." The use of tw 



184 NORTH CAROLINA REGISTER May 15, 1996 11: 



RULE-MAKING AGENDA 



different words has lead to confusion. The same word should be used in both phrases. Other related 
issues also need to be clarified. Should the date be the date that the source was manufactured or should 
it be the date that the source was originally installed at the facility? There are several options. One is to 
rewrite the phrases to read "for sources manufactured as of July 1, 1971" and "for sources manufactured 
after July 1, 1971." Another is to rewrite the phrases to read "for sources located at the facility as of July 
1, 1971" and for sources located at the facility after July 1, 1971." Another possible option would be to 
eliminate the date altogether and require all sources to meet a 20% opacity standard. 

APA #: E1951 

SUBJECT: General Use Standards for Ocean Hazardous Areas 

RULE CITATION #: 15A NCAC 7H .0306 

AUTHORITY: G.S. 113A-107; 113A-1 13(b)(6); 113A-124 

DIVISION/SECTION: COASTAL MANAGEMENT 

DIVISION CONTACT: Preston Pate 

DIVISION CONTACT TEL#: (919)726-7021 

DATE INITIATED: 4/23/96 

DURATION OF RULE: Permanent 4/1/97 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Concept Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION : 

Response to Rules Review Commission Objections. 

SCOPE/NATURE/SUMMARY : 

The rules involved are broadly worded to apply to all types of development on the oceanfront. The 
proposed changes will make some of them clearer and repeal those that are considered unnecessary. 

APA #: El 952 

SUBJECT: General Permits (General Conditions) 

RULE CrTATION #: 15 A NCAC 7H .1104, .1204, .1304, .1404, .1504, .1604, .1704, .1804, .1904, .2004 

and .2104 

AUTHORITY: G.S. 113A-107; 113A-107(a); 113A-107(b); 113A-113(b); 113A-118.1; 113A-124; 113-229(cl) 

DIVISION/SECTION: COASTAL MANAGEMENT 

DIVISION CONTACT: Preston Pate 

DIVISION CONTACT TEL#: (919)726-7021 

DATE INITIATED: 4/23/96 

DURATION OF RULE: Permanent 4/1/97 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Concept Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION : 

Response to Rules Review Commission Objections. 

SCOPE/NATURE/SUMMARY : 

Existing general permits all have clauses explaining the discretion staff has to withhold using a general 
permit to approve development upon finding the potential for significant impacts to the environment, 
historic resources, etc. The RRC has objected to current wording of the paragraphs providing such 
discretion and is asking that the rules be more clearly worded. The proposed change will provide that 
clarity. 

APA #: El 953 

SUBJECT: Reserve Components: Reserve Use Requirements 
RULE CITATION #: 15A NCAC 70 .0105, .0202 
AUTHORITY: G.S. 113-3; 113-8; 143B-10 
DIVISION/SECTION: COASTAL MANAGEMENT 
DIVISION CONTACT: Rich Shaw 
DIVISION CONTACT TEL#: (919)733-2293 
DATE INITIATED: 4/23/96 
DURATION OF RULE: Permanent 4/1/97 



NORTH CAROLINA REGISTER May 15, 1996 185 



RULE-MAKING AGENDA 



TYPE OF RULE: 

STAGE OF DEVELOPMENT: Draft Rule Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION : 

Two new coastal reserve sites have been acquired by the state for inclusion in the NC Coastal Reserve. 
Neither of these sites is listed under the existing description of reserve components in Subchapter 70. This 
amendment adds these two sites to be covered by the NCAC rules governing coastal reserve sites. 

SCOPE NATURE SUMMARY : 

The purpose of these rules is to add the names of two sites that have been acquired and approved for 
designation as part of the NC Coastal Reserve. A second change will amend one of the current general 
use standards to clarify that incompatible uses are any fishing, hunting or trapping activities that are 
prohibited by both state and local regulations. Heretofore, the rule referred only to used prohibited by state 
regulations. 

APA #: H6250 

SUBJECT: Child Nutrition Programs 

RULE CITATION #: 15A NCAC 21J .0101 

AUTHORITY: G.S. 130A-29 

DIVISION/SECTION: MATERNAL-CHILD HEALTH 

DIVISION CONTACT- Alice Lenihan 

DIVISION CONTACT TEL#: (919)715-0636 

DATE INITIATED: 4/17/96 

DURATION OF RULE: Temporary 6/10/96 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Concept Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION : 

Pursuant to House Bill 229 (Continuation Budget Operations Appropriations Act of 1995). the 16 personnel 
positions in the Department of Public Instruction that have responsibility in the areas of the federal Child 
andAdult Care Food Program and the Summer Food Sen ice Program are transferred from the Department 
of Environment, Health, and Natural Resources, effective October 1. 1995. Adoption of these regulations 
is required for the continued administration of these two programs by the Department of Environment, 
Health, and Natural Resources, Division of Maternal and Child Health. 

SCOPE/NATURE/SUMMARY : 

Proposal is to adopt and incorporate by reference the Federal Regulations for the Child and Adult Care 
Feeding Program and Summer Feeding Program. The administration of these programs was transferred 
from the Department of Instruction (DPI) to Department of Environment. Health, and Natural Resources, 
effective 10/1/95. DPI did not have APA Rules for the programs. 

These rules may be filed as temporary rules. 

APA #: H6251 

SUBJECT: Child Nutrition Programs 

RULE CITATION #: 15A NCAC 211 .0101 

AUTHORITY: G.S. 130A-29 

DIVISION/SECTION: MATERNAL-CHILD HEALTH 

DIVISION CONTACT: Alice Lenihan 

DIVISION CONTACT TEL#: (919)715-0636 

DATE INITIATED: 4/17/96 

DURATION OF RULE: Permanent 4/1/97 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Concept Stage 

GOV LEVELS AFFECTED: None 

SCOPE 'NATURE /SUMMARY : 

Proposal is to adopt and incorporate by reference the Federal Regulations for the Child and Adult Care 
Feeding Program and Summer Feeding Program. The administration of these programs was transferred 
from the Department of Public Instruction (DPI) to the Department of Environment. Health, and Natural 



186 NORTH CAROLINA REGISTER May 15, 1996 11:4 



RULE-MAKING AGENDA 



Resources, effective 10/1/95. DPI did not have APA Rules for the programs. 

APA #: H6259 

SUBJECT: Rules Governing the Sanitation of Lodging Places 

RULE CITATION #: 15A NCAC 18A .1805 

AUTHORITY: G.S. 130A-248 

DIVISION/SECTION: ENVIRONMENTAL HEALTH/ENV. HEALTH SERVICES 

DIVISION CONTACT: Malcolm Blalock 

DIVISION CONTACT TEL#: (919)715-0929 

DATE INITIATED: 4/24/96 

DURATION OF RULE: Permanent 4/1/97 

TYPE OF RULE: 

STAGE OF DEVELOPMENT: Draft Rule Stage 

GOV LEVELS AFFECTED: None 

REASON FOR ACTION : 

Rule 15A NCAC 18A .1805 (1) needs the word "places" changed to "establishment" in order for all rules 
to have consistent wording. This change was inadvertently left out during the previous rule process. 

SCOPE/NATURE/SUMMARY : 

This rule governs the sanitation of lodging places. 



n -4 NORTH CAROLINA REGISTER May 15, 1996 187 



PROPOSED RULES 



TITLE 7 - DEPARTMENT OF CULTURAL 
RESOURCES 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the USS NORTH CAROLINA 
Battleship Commission intends to amend rules cited as 
7 NCAC 05 .0202 - .0203, .0207 and repeal .0204. 

Proposed Effective Date: April 1, 1997 

Instructions on How to Demand a Public Hearing 
(must be requested in writing within 15 days of notice): 
Provide written request within fifteen (15) days of 
publication of this notice to: Director, USS NORTH 
CAROLINA Battleship Memorial, P.O. Box 480. 
Wilmington, NC 28402-0480. 

Reason for Proposed Action: Due to retirement of 
the Sound and Light Show after 30 years of production 
and minor modifications to the hours of operation of 
the Memorial and required ratio of chaperones to 
students. 

Comment Procedures: Provide comments in writing 
to the Director. USS NORTH CAROLINA Battleship 
Memorial, P.O. Box 480, Wilmington, NC 28402- 
0480. Comments must be submitted no later than 30 
days after publication of this notice. 

Fiscal Note: These Rules do not affect the expendi- 
tures or revenues of state or local government funds. 



student for organized school groups in grades kindergarten 
through 6, and three dollars (S3. 00) per student for 
organized school groups in grades 7 through 12. 

(b) There is no charge for children under 6. 

(c) Classroom teachers, aides, and chaperones accompa- 
nying students in class field trips will be admitted without 
charge at the rate of one teacher 'aide- chaperone for each 
30 K) students. 

(d) Tour groups under auspices of bona fide travel 
agents will be offered a 20 percent discount. Tour direc- 
tors and drivers will be admitted without charge. 

(e) Any organized group of 20 or more will be offered 
a 10 percent discount when tickets are purchased by a 
single source. 

Authority G.S. 143B-73. 

.0204 SOUND AND LIGHT SHOW 

(a) Th e admission pric e for th e sound and light show Qt 
the Battleship L.S.S. North Carolina is three dollars and 
fifty cents (S3. 50) for adults age 12 and over and one 
dollar and s e v e nty fiv e c e nts (Si. 75) for childr e n ag e 6 
through 1 1 . 

fb) — There is no charge for children under 6 years of 

(c) Tour groups und e r th e auspic e s of bona fid e trav e l 
ag e nts will b e off e r e d a 20 p e rc e nt discount. — Tour dir e o 
tors and drivers will be admitted without charge. 

(d) Any organized group of 20 or more will be offered 
a 10 perc e nt discount wh e n tick e ts ar e purchas e d by a 
singl e s ourc e . 



CHAPTER 5 - L.S.S. NORTH CAROLINA 
BATTLESHIP COMMISSION 

SECTION .0200 - USE REGULATIONS 

.0202 HOURS OF OPERATION 

The U.S. S. North Carolina Battleship Memorial 
will be open during the following hours: 

(1) The memorial will be open every day at 8:00 
am; 

(2) Closing time will be approximat e ly — sun se t 



-the 



tmrner months. — During the 



except during tne s ummer monms. — uunng me 
summer month s when the sound and light s how 
is being present e d, th e s hip will close at 8:00 
pm. 5:00 pm from September 16 through May 
15 and at 8:00 pm from May 16 through Sep- 
tember 15. 



Authority G.S. 143-362: 143B-73. 

.0203 ADMISSION PRICES 

(a) The admission price for the Battleship U.S.S. 
North Carolina is six dollars ($6.00) for persons age 
12 and over, three dollars (S3. 00) for children age 6 
through 11. one dollar and fifty cents (Si. 50) per 



Authority G.S. 143B-73. 

.0207 PARKING LOT 

The use of the parking lot, picnic shelter, picnic grove 
and grandstand is restricted to those interested in visiting 
and viewing the battleship memorial. Its use for overnight 
parking is prohibited. Additionally, us e of th e parking lot 
during such time as the outdoor drama. — "The Immortal 
Showboat", is being performed is restricted to individuals 
w-he hav e valid tick e t s for the p e rformanc e . 

Authority G.S. 143-362: 143B-73. 



TITLE 10 - DEPARTMENT OF HUMAN 
RESOURCES 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Child Day Care 
Commission intends to amend rules cited as 10 NCAC 03 U 
.0704 and .0710. 

Proposed Effective Date: April 1, 1997 

A Public Hearing will be conducted at 4:00 p.m. - 8:00 



188 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



PROPOSED RULES 



p.m. on September 4, 1996 at the NC Child Day Care 
Commission, Meeting Room, 319 Chapanoke Road, 
Suite 120, Raleigh, NC 27603. 

Reason for Proposed Action: To recognize the NC 
Child Care Credential as an option for a preservice 
requirement for child day care teachers or administra- 
tors. 

Comment Procedures: Comments may be presented 
in writing any time before or at the public hearing or 
orally at the hearing. Time limits for oral remarks 
may be imposed by the Commission Chairman. Any 
person may request copies of these Rules by calling 
Jeanne Marlowe, Division of Child Development, 319 
Chapanoke Road, Suite 120, Raleigh, NC 27603, (919) 
662-4535. 

Fiscal Note: These Rules do not affect the expendi- 
tures or revenues of state or local government funds. 

CHAPTER 3 - FACILITY SERVICES 

SUBCHAPTER 3U - CHILD DAY CARE 
STANDARDS 

SECTION .0700 - HEALTH AND OTHER 
STANDARDS FOR CENTER STAFF 

.0704 PRESERVICE REQUIREMENTS 
FOR ADMINISTRATORS 

(a) The on-site administrator who has overall 
responsibility for planning and administering the child 
care program shall meet the following requirements: 

(1) Be at least 21 years of age, and be literate; 
and 

(2) Have either a high school or general educa- 
tion diploma; and 

(3) Have two years of full-time verifiable child 
day care or early childhood experience; or 
an undergraduate, graduate, or associate 
degree, with at least 12 semester hours in 
child development, child psychology, early 
childhood education or directly related field; 
or a Child Development Associate Creden- 
tial; or completion of a community or tech- 
nical college curriculum program in the area 
of child care or early childhood; or one year 
of full-time verifiable child day care or early 
childhood experience and have completed 
the North Carolina Child Care Credential 
course; and 

(4) Have verification of having successfully 
completed, or be currently enrolled in, 3 
quarter hours, or 33 clock hours, of training 
in the area of child care program administra- 
tion; or, have one year experience perform- 



ing administrative responsibilities; or, have one 
year experience performing administrative re- 
sponsibilities and have another full-time staff 
person, who meets Subparagraphs (1) through 
(3) of this Paragraph who is responsible for 
planning and implementing the daily program at 
the center to comply with Sections .0500 and 
.0600 of this Subchapter. 

(b) The administrator of a child day care program who 
does not routinely work on site, or who is responsible for 
more than one child day care arrangement, shall have 
verification of having successfully completed, or be 
currently enrolled in, 3 quarter hours, or 33 clock hours, 
of training in child care program administration; or, have 
one year experience performing administrative responsibili- 
ties and have at least one full-time staff person on site at 
each center who meets the requirements of (1) through (3) 
of Paragraph (a) of this Rule. 

(c) Any person who is at least 21 years old and literate 
who was employed as an on-site administrator in a day 
care program on or before September 1, 1986, shall be 
exempt from the provisions of Paragraphs (a) and (b) of 
this Rule. 

Authority G.S. 110-91(8); 143B-168.3. 

.0710 PRESERVICE REQUIREMENTS FOR 
TEACHERS AND AIDES 

(a) The teacher-caregiver with responsibility for plan- 
ning and implementing the daily program for each group of 
children shall be at least 18 years of age, literate, and have 
at least one of the following: 

(1) A high school or general education diploma and 
one of the following: 

(A) One year of verifiable experience working 
in a child day care center; or 

(B) Twenty additional hours of training within 
the first six months of employment; or 

(C) Successful completion of the Department 
of Public Instruction's Child Care Services 
Occupational Home Economics Program; 
or 

(D) A passing grade in at least the equivalent 
of four semester hours in child develop- 
ment at a regionally accredited college or 
univoreity. university; or 

(E) Completion of the North Carolina Child 
Care Credential course. 

(2) A Child Development Associate Credential. 

(3) Graduation from a child care or early childhood 
curriculum program at a community college or 
technical college. 

(4) An undergraduate or graduate degree with at 
least the equivalent of four semester hours in 
child development. 

(5) Five years of verifiable experience working in 
child day care. 



11:4 



NORTH CAROLINA REGISTER 



May IS, 1996 



189 



PROPOSED RULES 



(b) An aide or person responsible to the 
teacher-caregiver for assisting with planning and 
implementing the daily program shall be at least 16 
years old and literate. 

Authority G.S. 110-91(8); 143B-168.3. 



TITLE 15A - DEPARTMENT OF 

ENVIRONMENT, HEALTH, AND 

NATURAL RESOURCES 

Notice is herebx given in accordance with G.S. 
150B-21.2 that the Coastal Resources Commis- 
sion intends to amend rule cited as 15 A NCAC 7H 
.0106. Subject Matter notice was published in the 
Register , Volume 10, Issue 16B, page 1921. 

Proposed Effective Date: October 1, 1996. 

Reason for Proposed Action: Need for consistent use 
and understanding of the term in CRC rules. The term 
"structure" is used numerous times in CRC rules but is 
not defined in such a way as to apply consistently 
throughout all Subchapters of Chapter 7H. It is 
proposed to define building, roads, piers, mooring 
pilings, breakwaters, etc. as structures. 

Comment Procedures: All persons interested in this 
matter are invited to send written comments to be 
received no later than June 15, 1996. Please mail or 
fax comments to Kris M. Horton; DEHNR; NC Divi- 
sion of Coastal Management; PO Box 27687; Raleigh. 
NC 27611-7687; (919) 733-1495. 

Editor's Note: An agency may not adopt a rule that 
differs substantially from the text of a proposed rule 
published in the Register, unless the agency publishes 
the te,xt of the proposed different rule and accepts 
comments on the new text. 

Fiscal Note: This Rule does not affect the expendi- 
tures or revenues of state or local government funds. 
Economic impact does not exceed $5 ,000,000. 

CHAPTER 7 - COASTAL MANAGEMENT 

SUBCHAPTER 7H - STATE GUIDELINES 
FOR AREAS OF ENVIRONMENTAL CONCERN 

SECTION .0100 - rNTRODUCTION AND 
GENERAL COMMENTS 

.0106 GENERAL DEFINITIONS 

The following definitions apply whenever these 
terms are used in this Subchapter: Chapter: 

(1) "Normal High Water" is the ordinary extent 



of high tide based on site conditions such as 
presence and location of vegetation, which has 
its distribution influenced by tidal action, and the 
location of the apparent high tide line. 

(2) "Normal Water Level" is the level of water 
bodies with less than six inches of lunar tide 
during periods of little or no wind. It can be 
determined by the presence of such physical and 
biological indicators as erosion escarpments, 
trash lines, water lines, marsh grasses and 
barnacles. 

(3) Unless specifically limited, the term "structures" 
includes, but is not limited to. buildings, bridges, 
roads, piers, wharves and docks (supported on 
piles), bulkheads, breakwaters, jetties, mooring 
pilings and buovs, pile clusters (dolphins), 
navigational aids and elevated boat ramps. 

Authority G.S. 113A-102; U3A-107. 

****************** 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the Coastal Resources Commission 
intends to amend rule cited as 15A NCAC 7J .0102. 

Proposed Effective Date: April 1, 1997. 

A Public Hearing will be conducted at 4:00 pm on July 
25, 1996 at the Crystal Coast Civic Center, 3505 Arendell 
Street, Morehead City, NC 28557. 

Reason for Proposed Action: The term "structure" is 
used numerous times in CRC rules but is not defined in 
such a way as to apply consistently throughout all Subchap- 
ters of Chapter 7. This definition of structure is being 
deleted from 15A NCAC 7 J .0102 and moved to 15A NCAC 
7H .0106 to provide consistency in Chapter 7. 

Comment Procedures: All persons interested in this 
matter are invited to attend the public hearing. Hie 
Coastal Resources Commission will receive mailed written 
comments postmarked no later than July 25, 1996. Any 
person desiring to present lengthy comments is requested to 
submit a written statement for inclusion in the record of 
proceedings at the public hearing. Additional information 
concerning the hearing or the proposals may be obtained 
by contacting Kris M. Horton, Division of Coastal Manage- 
ment, PO Box 27687, Raleigh, NC 27611-7687, (919) 733- 
2293. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of state or local government funds. Economic 
impact does not exceed $5,000,000. 

CHAPTER 7 - COASTAL MANAGEMENT 



190 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4\ 



PROPOSED RULES 



SUBCHAPTER 7J - PROCEDURES FOR 

HANDLING MAJOR DEVELOPMENT 

PERMITS: VARIANCE REQUESTS: APPEALS 

FROM MINOR DEVELOPMENT PERMIT 
DECISIONS: AND DECLARATORY RULINGS 

SECTION .0100 - DEFINITIONS 

.0102 GENERAL DEFINITIONS 

The following definitions apply whenever these 
words are used in this Subchapter: 

(1) "Areas of Environmental Concern" (AECs) 
means geographic areas within the coastal 
area which the Coastal Resources Commis- 
sion chooses to designate for special envi- 
ronmental and land use regulations. The 
types of areas which may be designated as 
AECs are described in G.S. 113A-113. 
Areas which have already been designated 
are defined in 15A NCAC 71, "State Guide- 
lines for Areas of Environmental Concern." 

(2) "Department" (DEHNR) means the North 
Carolina Department of Environment, 
Health, and Natural Resources. 

(3) "Excavation Project" means any moving, 
digging, or exposing of bottom materials, 
marshland substrate or root or rhizome 
matter in the estuarine waters, tidelands, 
marshlands and state-owned lakes, regard- 
less of the equipment or method used. 

(4) "Filling Project" means the placing of any 
materials in estuarine waters, tidelands, 
marshlands and state-owned lakes so as to 
raise the elevation of the area upon which 
the material is placed. Structure placement 
does not constitute a filling or excavation 
project. The placement of shell material 
specifically for the purpose of oyster culture 
also shall not be considered a filling project. 

(5) "Local Management Program" means the 
local implementation and enforcement pro- 
gram of a coastal city or county that has 
undertaken to administer a permit program 
for minor development in areas of environ- 
mental concern located within such city or 
county. 

(6) "Local Permit Officer" refers to the locally 
designated official who will administer and 
enforce the minor development permit pro- 
gram in areas of environmental concern and 
all parts of the land use plan which the local 
government may wish to enforce over the 
entire planning area. 

(7) "Division" means the Division of Coastal 
Management. 

(8) "Permit" refers to CAMA major develop- 
ment permits, CAMA minor development 



permits and dredge and fill permits unless the 
context clearly indicates a contrary interpreta- 
tion. 
(9) "Secretary" refers to the Secretary of Environ- 
ment, Health, and Natural Resources. 
(40) "Structur e s" — inolud e o. — but io not limit e d to, 
buildings; bridg e s, pi e rs, wharv e o and dook o 
(supported on piles): timber breakwaters; moor 
ing pilings; pile cluster s- (dolphins); navigational 
aido; not stakes; or oonorot e st ee l, or wood boat 
ramps more than 20 f ee t long and 10 f ee t wid e . 

Authority G.S. 113-229; 113A-116; 113A-117; 113A-118. 

****************** 

Notice is hereby given in accordance with G.S. 
150B-21.2 that the North Carolina Wildlife Resources 
Commission intends to repeal rule cited as 15A NCAC 101 
.0001. 

Proposed Effective Date: March 2, 1997. 

A Public Hearing will be conducted at 10:00 am on June 
5, 1996 at the Archdale Building, Room 332, 512 N. 
Salisbury Street, Raleigh, NC 27604. 

Reason for Proposed Action: To conform to amendments 
to G.S. 113-333 pursuant to House Bill 832 Chapter 392, 
1995 Session Laws. 

Comment Procedures: Interested persons may present 
their views either orally or in writing at the hearing. In 
addition, the record of hearing will be open for receipt of 
written comments from May 15, 1996 through June 14, 
1996. Such written comments must be delivered or mailed 
to the North Carolina Wildlife Resources Commission, 512 
North Salisbury Street, Raleigh, NC 27604-1188. 

Fiscal Note: This Rule does not affect the expenditures or 
revenues of state or local government funds. 

.0001 DEFINITIONS AND PROCEDURES 

fa) — For th e purpos e s of this Subchapt e r, th e following 
d e finitions shall apply: 

(4) "Best available scientific evidence" — is th e 

existing biological, chemical, and physical 
data on th e distribution, status, abundano e , 
and population dynamios of a wild animal 
species and on the sufficiency or insufficiency 
of the biological and physical features of a 
oritioal habitat that have boon collected and 
analyz e d by comp e t e nt biologists using obj e c - 
tive, s cientific method s . 

(3) "Biological and physical features" are the 

known param e t e rs and charact e ristics of a 
oritioal habitat nooos s ary to s u s tain e ss e ntial 



NORTH CAROLINA REGISTER 



May 15, 1996 



191 



PROPOSED RULES 






m- 



lifc processes of a wild animal species. 
"Conservation — of a — prot e ct e d — animal 
species" io defined by G,S. 113 331(1). 
"Conservation plan" shall be a written 
plan developed by the Wildlife Resources 
Commission — u s ing — its — resources — and 
expertise in th e biological and ecological 
sciences with input from other agencies 
that documents problems in the biological 
and physical f e atur e s of a critical habitat 
and id e ntifies possibl e remedi e s. 

(-A-) The — con s ervation — p+an — shall 

contain the best available scion 
tifie evid e nc e that forms th e 
basis for d e signation of th e 
critical habitat and may contain 
recommended — actions — te — be 



taken for 



sp e ci 



al con s ervation. 



protection, and manag e m e nt of 
the critical habitat. 

(-B-) The — conservation — p+an — may 

contain mor e than on e critical 
habitat if the threats to th e hab 
itats and the endangered and 
threatened wild animal species 
occupying th e m ar e s imilar. 

fG) Th e cons e rvation plan shall b e 

available for public review and 
comment. 
"Critical — habitat" — means — anv — habitat 



e ss e ntial to th e cons e rvation of a pro ' 
tected animal species listed as endangered 
or threatened in Rule .0003 or .000 4 of 
this Subchapt e r. 

(-A-) Critical — habitat s hall — includ e 

areas within the occupied or 
potential geographical range of 
a prot e ct e d animal species or 
other critical ar e as that contain 
or impact the biological and 
physical — features es s ential to 
th e cons e rvation of a prot e ct e d 
animal sp e ci e s and for which 
s pecial — con s ervation, — protec 
tion. and management actions 
may b e r e quir e d. 

(B) Critical habitat shaH net 

include the entire occupied or 
potential geographical range of 
a prot e ct e d animal speci es or 
all areas that impact upon a 
protected animal species unless 
the — best — available — s cientific 
e vid e nc e indicat es that s p e cial 
cons e rvation. — prot e ction. — and 
management of the area or the 
entire range is essential to the 



conservation of a protected animal 
sp e ci e s. 

f&) Critical habitats d e signations shall 

bo listed in this Subchapter and 
shall include an accurate description 
of the habitats and th e ir boundaries, 
th e e ndangered and thr e at e n e d wild 
animal species occupying the habi 
tat s , and the reason and basis for 
d e signation. 

(&) "Lif e proc e ss e s" ar e thos e biological funo 

tions of a wild animal species essential to the 
health and survival of individual organisms 
and p e rpetuation of a wild animal species. 
ffi "Prot e ct e d — animal" — ts — d e fin e d — m — G.S. 



&~ 



113 331(5). 

"Special conservation, protection, and man 



ag e m e nt" ar e m e asures that may b e taken and 
restrictions that may b e impos e d n e c e ssary to 
pre s erve or restore the essential biologieal 
and physical features of a critical habitat. 

&) "Sp e ci e s" m e ans th e taxonomie grouping of 

wildlif e , — th e s e xually — matur e m e mbers of 
which interbreed and reproduce their own 
kind 



fW- 



'Wild 



imal" 



d e fin e d in G.S. 



113 331(10). 
fb-) — For the purposes of this Subchapter, the following 
procedures apply for the designation of critical habitat. 



m- 



Th e Wildlif e R e sourc e s Commission shal 



und e rtak e d e signation of critical habitat with 



the ads 



-the 



( 



(3) 



Jvice and upon the recommendation o 
the Nongam o Wildlife Advisory Committee 
and — s hall — b as e any — d e cision — to d e signat e 
critical habitat upon th e b e st availabl e s ci e n 
t i fic evidence. 
Lpon receiving the recommendation from the 



Nongam e Wildlif e Advi s ory Committ ee that 
d e signation of critical habitat is e ss e ntial to 
the con s ervation of a protected animal species 
li s ted a s endangered or threatened pursuant to 
Rul e .0003 or .0001 of this Subchapter, and 
upon finding suffici e nt e v i denc e in th e r e com 
mendation to warrant further consid e ration of 
designation, the Wildlife Resources Commis 
s ion s hall — publish in th e North Carolina 
R e gist e r notic e of public h e aring and int e nt to 
designate the area as critical habitat. 



&- 



#+he 



m- 



At the tim e of publ i cation of the notice ot 
public — h e aring — en — d e signation — of critical 
habitat, th e b e st availabl e sci e ntific e vid e nc e 
upon which the propo s ed de s ignation i s ba s ed 
shall be available for public review and shall 
b e provid e d to oth e r ag e nci e s. 
Th e Wildlif e R e sourc e s Commission shall 
ba s e its decision to de s ignate or not de s ignate 
a critical habitat solely upon the best availab l e 



192 



NORTH CAROLINA REGISTER 



May IS, 1996 



11:4 



PROPOSED RULES 



m- 



&- 



scientific ovidonco and information in tho 
record of tho publio h e aring proce e dings 
pertin e nt to tho d e t e rmination of whether 
or not tho critical habitat is essential for 
tho conservation of a protected animal 
spooioo. — Consid e rations r e lat e d to th e 
appropriat e n e ss — or impl e m e ntation — el 
special — conservation, — protection, — and 
management actions which may bo roc 
omm e ndod in any subs e qu e ntly d e v e l 
opod cons e rvation plan shall not b e ar 
upon tho decision to designate or not 
designate a critical habitat- 
Following th e designation of a oritioal 



habitat, tho Wildlif e R e sources Commis 
sion shall invito representatives of intor 
ostod governmental agencies with juris 
diotion ov e r m e asur e s and r e strictions 
that oould e ff e ot sp e cial cons e rvation, 
protection, and management of tho criti 
cal habitat to participate in development 
of a draft conservation plan for th e list e d 

oritioal — habitat. Eaoh — gov e rnm e ntal 

agency involved in development tho draft 
conservation — plan — shall — consider — the 
rang e of impaots of propos e d sp e oial 
conservation, — prot e ction, and manag e 
mont measures in tho plan that come 
under its jurisdiction and that affect tho 
publio int e r e st and shall addr e ss th e s e 
impaots in th e plan. 
Upon completion of tho draft consorva 



tion plan, tho Wildlife Resources Com 
mission shall publish in th e North Caro 
Una R e gist e r notio e of th e availability of 
tho draft conservation plan for public 
review and notice of public hearing to 
reo e iv e publio oomm e nt on th e appropri 
at e n e ss and various impaots of th e oon 
s e rvation, protection, and management 
provisions of tho draft conservation plan. 

f?) Th e Wildlif e R e sourc e s Commission and 

oth e r gov e rnm e ntal ag e noi e s contributing 
te — the — management — and — conservation 
s trategy proposed for any designated 
oritioal habitat shall provid e at th e tim e 
of pr e s e ntation of tho cons e rvation plan 
an opportunity for tho public and any 
interested party to present pertinent infor 
mation and oomments about e oonomio, 
sooial, e oologioal or oth e r impaots that 
may result from implementation of spo 
cial conservation, protection, and man 
agomont m e asur e s rooomm e nd e d in th e 
cons e rvation plan. 

(&) Each governmental agoncy affected by 

special — conservation, — protection, — and 



management measures contained in tho con 
s e rvation plan for a oritioal habitat shall bo 
invited to participat e in the publio hearing 
process, to considor tho bost available scion 
tifio ovidonco and tho record of tho public 
h e aring proc e edings, and to tak e appropriat e 
aotiono und e r the ag e noy's jurisdictional and 
procedural authorities. 

Authority G.S. 113-132; 113-134; 113-331; 113-333; 
113-334; 113-336; 143-239. 



NORTH CAROLINA REGISTER 



May 15, 1996 



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TEMPORARY RULES 



The Codifier of Rules has entered the following temporary rule(s) Ln the North Carolina Administrative Code. 
Pursuant to G.S. 150B-21. 1(e), publication of a temporary rule in the North Carolina Register serves as a notice of 
rule-making proceedings unless this notice has been previously published by the agency. 



TITLE 1 - DEPARTMENT OF 
ADMINISTRATION 

Rule-making Agency: State Building Commission 

Rule Citation: 1 NCAC 30G .0101 - .0705 

Effective Date: July 1, 1996 

Findings Reviewed by the Codifier of Rules: Approved 

Authority for the rule-making: G.S. 143-135.26(9) 

Reason for Proposed Action: These Rules are proposed 
to establish procedures and criteria by which the State 
Building Commission cart evaluate requests to use alterna- 
tive contracting methods in public construction, as autho- 
rized by the 1995 General Assembly. 

Comment Procedures: All persons interested in this 
matter are encouraged to submit written comments to: R. 
Glen Peterson, Department of Administration, 116 West 
Jones Street, Raleigh, NC 27603-8003. Comments will be 
accepted through July 15, 1996. 

CHAPTER 30 - STATE CONSTRUCTION OFFICE 

SUBCHAPTER 30G - STATE BUILDING 

COMMISSION PROCEDURES AND CRITERIA 

FOR AUTHORIZATION TO USE AN ALTERNATIVE 

CONTRACTING METHOD 

SECTION .0100 - GENERAL PROVISIONS 

.0101 AUTHORITY 

The State Building Commission, hereinafter referred to 
as SBC, is a statutory body, empowered by law to perform 
a multiplicity of duties with regard to the State's capital 
facilities development and management program. In the 
specific area of State capital improvement project require- 
ments for building contracts, the SBC is empowered by 
G.S. 143-135.26 to adopt procedures which allows a State 
agency or institution, a local governmental unit, or any 
other entity subject to the provisions of G.S. 143-129 to 
use a method of contracting not authorized under G.S. 143- 
128. The use of any other alternative method shall be 
approved in advance by the SBC for any single project. 

History Note: Authority G.S. 143-135.26; 
Temporary Adoption Eff. July 1 , 1996. 

.0102 POLICY 

To assure that the public trust is carefully exercised, the 



North Carolina General Assembly has enacted a number of 
special procedures for the letting and administration of 
public construction contracts. They also help to assure that 
public owners receive good value in their expenditure of 
the public funds and that they do not pay excessive prices 
for construction. Therefore, it is the policy of the SBC 
that the public's interest is typically best served by the 
letting of public construction contracts pursuant to these 
special statutory procedures, particularly the provisions of 
G.S. 143-128. Nevertheless, the SBC recognizes that 
extraordinary circumstances do arise which justify an 
exemption from the methods of contracting authorized 
under G.S. 143-128. The categories of exemptions and 
other criteria set forth herein are designed to provide a fair 
and uniform means by which the SBC can determine that 
the requisite justifications to obtain an exemption have been 
adequately demonstrated. 

History Note: Authority G.S. 143-135.26; 
Temporary Adoption Eff. July 1 , 1996. 

.0103 DEFINITIONS 

For the purposes of these Procedures and Criteria, the 
following definitions shall apply: 

( 1) "Alternative contracting method" includes by 
way of example, but not limited to: 

(a) the single-prime contracting system, not 
otherwise authorized under G.S. 143-128, 

(b) the design-build delivery system, or 

(c) the construction management delivery 
system. 

"Chairman" means the Chairman of the State 
Building Commission. 

"Construction management delivery system" 
means the alternative contracting method where 
the public owner contracts for a fee with a single 
person, but not the project general contractor, 
who administers contracts with separate contrac- 
tors for the construction of the project and who 
is responsible as agent to the public owner for 
the coordination and management of the project, 
but where the public owner remains liable to the 
separate contractors. 

"Design-build delivery system" means that the 
public owner contracts for a fee with a single 
person for the design, management and construc- 
tion of a project. 

"Director" means the Director of the State 
Construction Office. 



(3} 



(4) 
161 



'Exemption" means the grant of authorization by 
the SBC for the use of a method of contracting 
not otherwise authorized under G.S. 143-128. 
(7) "Person" mean s a person, firm or corporation. 



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(8) "Project" means the building or facility for 
which an exemption is requested by the public 
owner, and upon which the work will be per- 
formed. 

(9) "Public owner" means a state agency or institu- 
tion , a local government unit, or any other entity 
subject to the provisions of G.S. 143-129. 

(10) "SBC" means the State Building Commission. 

(11) "Work" means the erection, repair, construction, 
renovation or alteration to be performed upon a 
building or facility. 

History Note: Authority G.S. 143-135.26; 
Temporary Adoption Eff. July 1 , 1996. 

.0104 GENERAL PROCEDURES 

(a) Application Form z The SBC shall establish a form 
of a pplication, along with a copy of the rules for applica- 
tion approved by the SBC, to be used by public owners 
requesting an exemption, which shall upon request be 
provided to public owners. A completed application shall 
contain all of the information necessary to enable the SBC 
to determine the appropriateness and merits of approving 
an exemption. 

(b) Rules for Application : The SBC shall e stablish rules 
for application to be used by public owners requesting an 
exemption, which shall upon request be provided to public 
owners. 

(c) Review of Application: 

(1) The public owner shall submit the application to 
the State Construction Office, Attention: Direc- 
tor, Department of Administration, New Educa- 
tion Building, Suite 450, 301 North Wilmington 
Street, Raleigh, North Carolina 27601-2827. 
The Director shall review the application upon 
its receipt. If the Director determines that the 
application is not complete, he shall return the 
application to the public owner along with a 
written notice of the reasons for the return. 
Despite the return of an application, a public 
owner may request in writing to the Director that 
the SBC consider the application as originally 
submitted, and the notice of return to the public 
owner shall so state this option. An application 
shall be considered abandoned if it is returned 
pursuant to this Section, and no further action is 
taken by the public owner to satisfy the reasons 
for its return. 

(2) The SBC shall generally meet once per month to 
review applications and to conduct its other 
business. Completed applications shall be con- 
sidered within 60 days of receipt by the Director 
of the completed application. Once scheduled 
for consideration by the SBC, the public owner 
shall be given notice of the date, time and loca- 
tion of the SBC meeting at which the application 
shall be considered. 



(3) The SBC shall only accept written applications. 
After due consideration of these applications, the 
SBC shall take one of the following actions: 

(A) Delay consideration of the application: 

(B) Deny the application: or 

(C) Approve the application. 

Within five days of the SBC's action upon the 
application, notice of the same shall be sent to 
the public owner, and to the Director. Upon a 
delay of consideration pursuant to Paragraph (a) 
of this Rule, the SBC shall immediately request 
from the public owner or other person further 
information required in order to make a determi- 
nation, or provide the public owner with notice 
of other good cause existing for the delay. 

(d) Approval of an Application - Approval of an applica- 
tion authorizes the public owner to utilize only the alterna- 
tive contracting method as proposed by the public owner 
and no other method of contracting. Approval of an 
a pplication shall be effective for a period to be determined 
by the SBC but not exceeding J2 months, unless that 
effective time period is extended by the SBC upon good 
cause shown by the public owner. The extension of an 
effective time period shall be for no more than 12 months 
and shall run from the last day of the prior effective time 
period. The effective time period shall run from the date 
the SBC approves the application. 

(e) Voting ; The authorization for an alternative con- 
tracting method shall be approved by two-thirds of the 
members of the SBC present and voting. A member of the 
SBC is not qualified to vote upon any matter or influence 
any other member's vote upon any matter in which he has 
a conflict of interest. A conflict of interest, as related to 
members of the SBC, is defined in G.S. 143-135.28. 

(fj Public Records - The Director shall maintain a list of 
applications which states the name of the public owner, the 
name of the project, the project amount, a brief description 
of the category for which the exemption is sought, and a 
record of the SBC's action. Applications, and a record of 
the SBC's action upon those applications, shall be available 
for public inspection. 

History Note: Authority G.S. 143-135.26; 
Temporary Adoption Eff. July 1 , 1996. 

.0105 CRITERIA FOR CONSIDERATION 

(a) General Considerations ; Applications shall be 
subject to the following general considerations which the 
SBC shall utilize in reviewing all applications: 

(1) Whether the public owner has adequately justi- 
fied that the requested exemption is applicable to 
the project. 

(2) Whether under the circumstances presented the 
project can be reasonably completed under the 
methods authorized under G.S. 143-128, and if 
not, whether the public owner has adequately 
demonstrated that the proposed alternative con- 



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trading method |s necessary. 

(3) Whether the exemption sought is appropriate and 
in the public's interest. 

(4) Whether the public owner has been responsible 
in the pre-planning stages of the project. 

(b) Criteria for Exemptions ; The following criteria 
describe circumstances where the SBC recognizes that a 
project may not be able to be reasonably completed under 
the methods authorized by G.S. 143-128, and where the 
use of an alternative contracting system, not otherwise 
authorized by G.S. 143-128, may be appropriate and in the 
public's interest: 

(1 ) Special Technology or Equipment - The project 
involves the erection or construction of special or 
unique technology or equipment whose vendor 
requires that its services be purchased in con- 
junction with the technology or equipment; or 
the vendor guarantees the technology or equip- 
ment only if its services are purchased in con- 
junction with the technology or equipment. 

(2) Unusual Complexity : The project involves one 
or more of the following conditions: 

(A) very specialized or complex type of con- 
struction involving unconventional con- 
struction techniques or materials, or un- 
usual working conditions; 

(B) major renovations or an addition to an 
existing facility requiring continuous 
coordination of occupied programs or 
operations necessary for the protection of 
public health or safety; or 

(C) extensive repairs, renovations or an addi- 
tion to a major building or facility listed 
either in the North Carolina or Federal 
Register of Historic Properties. 

(3) Accelerated Schedule ; A fast track schedule is 
required due to actual or impending judiciai 
intervention by means of a State or Federal court 
order, or to address actual or impending regula- 
tory mandates or citation for noncompliance. 

History Note: Authority G.S. 143-135.26; 

Temporary Adoption Eff. July 1 , 1996. 



TITLE 10 - DEPARTMENT OF HUMAN 
RESOURCES 

Rule-making Agency: DHR-Division of Medical Assis- 
tance 

Rule Citation: 10 NCAC 50D .0101 - .0103. .0201, 
.0301 - .0302. .0401 - .0402. .0501 - .0503 

Effective Date: Temporary Adoption Eff. May 6, 1996 to 
expire on July 1, 1996, or the last day of the 1996 session 
of the General Assembly, whichever is later. 



Findings Reviewed by the Codifier of Rules: Approved 



Authority for the rule-making: 

U.S.C. 1396p. 



G.S. 108A-70.5; 42 



Reason for Proposed Action: These rules are necessary 
to implement Medicaid estate recovery. OBRA 1993 
mandated estate recovery and enabling state legislation to 
effect this mandate was needed. G.S. 108A-70.5 was 
passed in July 1994 and authorizes estate recovery. These 
rules were published in NC Register 10:15. These rules 
have already undergone public comment and revision. At 
the February 15, 1996 Rules Review Commission meeting, 
the Commission voted to return these rules for failure to 
prepare a fiscal note in compliance with G.S. 150B- 
21.4(b). These rules have been revised as a result of the 
public hearing process. Revisions are shown with strike 
through and underline. 

Comment Procedures: Written comments concerning 
these rule-making actions must be submitted by July 15, 
1996 to Portia Rochelle, APA Coordinator, Division of 
Medical Assistance, 1985 Umstead Drive, Raleigh, NC 
27603. 

CHAPTER 50 - MEDICAL ASSISTANCE 

SUBCHAPTER 50D - ESTATE RECOVERY 

SECTION .0100 - RECIPIENTS 
SUBJECT TO ESTATE RECOVERY 

.0101 NOTICE OF ESTATE RECOVERY 

(a) An individual who applies or reapplies) on or aft e r 
Octob e r 1. — 1991 und e r for Medicaid disabl e d or ag e d 
cat e gorie s coverage for cost of care shall be given a 
written notice at the time of application that a claim may 
be filed against their estate, if one exists, to recover 
Medicaid payments made on his behalf. 

fb) Notice shall be on a form prescribed by the Division 
of Medical Assistance and shall explain: 

The types of Medicaid payments subject to estate 
recovery; and 

That recovery will not be claimed if the individ- 
ual is survived by a legal spouse, child(ren) 
under age 21 or blind or disabled child(ren) of 
any age who became blind or disabled before age 
21 and still live on the property of the individ 
ua+r individual; 

(3) That estate recovery is limited to recipients age 
55 and over who receive certain Medicaid ser- 
vices or to recipients who are permanently 
institutionalized; and 

(4) That recovery may be waived in the case of 
undue hardship. 

History Note: Authority G.S. 108A-70.5; 42 U.S.C. 



(1) 

(2) 



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1396p.; 

Temporary Adoption Eff. May 6, 1996 to expire on July 1 , 
1996, or the last day of the 1996 session of the General 
Assembly, whichever is later. 

.0102 PERMANENTLY INSTITUTIONALIZED 

Recovery shall apply to the estates of individuals under 
age 55 who seek Medicaid coverage for costs of care in a 
medical institution and who cannot reasonably be expected 
to be discharged to return home. 

(1) For purposes of estate recovery, medical institu- 
tion means licensed nursing facilities, intermedi- 
ate care for the mentally retarded facilities, 
nursing facility level of care in hospitals, or 
psychiatric inpatient care in a general hospital, ef 
psychiatric hospital hospital, or mental institu- 
tion. 

(2) A determination that an individual cannot reason- 
ably be expected to be discharged to return home 
is made when the individual seeks placement in 
or has been admitted to a medical institution 
using the following evidence: 

(a) Admission forms for level of care, physi- 
cian written statement of discharge plans, 
or plans of care which indicate care needs 
are not of temporary p e rman e nt or of 
ind e finit e duration, or 

(b) Individual continues to be a resident of a 
medical institution at the end of a tempo- 
rary stay predicted by his physician at the 
time of admission to be no longer than six 
months in duration. 

(3) Notice of the determination that the individual is 
residing in a medical institution on a permanent 
or indefinite basis shall be given to the individ- 
ual, or to his parent/guardian/ responsible person 
if the individual is incompetent, within three 
work days after the determination. The notice 
shall explain the right to request a reconsidera- 
tion review, and the time limits and procedures 
for doing so. 

(4) The individual or his parent/guardian/responsible 
person may request a reconsideration review of 
the determination under Section .0200 of this 
Subchapter. 

History Note: Authority G.S. 108A-70.5; 42 U.S.C. 

1396p.; 

Temporary Adoption Eff. May 6, 1996 to expire on July 1 , 

1996, or the last day of the 1996 session of the General 

Assembly, whichever is later. 

.0103 AGE 55 AND OVER 

(a) Recovery shall apply to the estates of individuals 
who on or after reaching age 55 s ee k receive Medicaid 
coverage for nursing facility level of care in a medical 
inatitution or under a home and community based alterna- 



tive program for individuals who would otherwise qualify 
for ea to expire on July 1, 1996, or the last day of the 
1996 session of the General Assembly, whichever is later. 
to in a medioal inotitution. nursing facility level of care. 
(b) Written notice that the state may file a claim against 
their estate to recover the payments made by the Medicaid 
Program on their behalf shall be given to individuals at the 
time of approval of eligibility for nursing facility level of 
care in a m e dioal inotitution or approval for home and 
community based alternatives services. 

History Note: Authority G.S. 108A-70.5; 42 U.S.C. 

1396p.; 

Temporary Adoption Eff. May 6, 1996 to expire on July 1 , 

1996, or the last day of the 1996 session of the General 

Assembly, whichever is later. 

SECTION .0200 - RECONSIDERATION REVDZW 

.0201 RECONSIDERATION REVD2W 

(a) The recipient or his parent/guardian/responsible 
person acting on behalf of the recipient may request 
reconsideration of the determination that the individual 
cannot reasonably be expected to be discharged to return 
home based on relevant evidence stated in Rule .0101 of 
this Subchapter. 

(b) A reconsideration review shall be requested in 
writing to the Division of Medical Assistance estate 
recovery administrator within 30 calendar days of the 
determination and written notice provided by the county 
department of social services. 

(c) Within 30 calendar days of a written request for 
reconsideration of the determination of permanent institu- 
tionalization, the estate recovery administrator shall 
establish a reconsideration date and conduct a review of: 

(1) All evidence considered by the county depart- 
ment of social services in making a determina- 
tion of permanent institutionalization, and 

(2) Information provided in writing or by telephone 
conference with the recipient or an individual 
acting on behalf of the recipient. 

(d) The review shall be conducted in the Division of 
Medical Assistance offices and may include a telephone 
conference with the recipient or an individual acting on 
behalf of the recipient if oral testimony is requested. 

(e) A decision shall be made and provided in writing to 
the recipient or an individual acting on behalf of the 
recipient within 15 calendar days of the date of the recon- 
sideration review. 

(f) If the recipient disagrees with the decision of the 
reconsideration review, he may appeal to the Office of 
Administrative Hearings (OAH) within 30 60 calendar days 
of receipt of the reconsideration review decision. If no 
appeal to OAH is filed, the reconsideration review decision 
is final. 

History Note: Authority G.S. 108A-70.5; 42 U.S.C. 



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1396p.; 

Temporary Adoption Eff. May 6, 1996 to expire on July 1 , 
1996, or the last day of the 1996 session of the General 
Assembly, whichever is later. 

SECTION .0300 - MEDICAID PAYMENTS 
SUBJECT TO RECOVERY 

.0301 PERMANENTLY rNSTITUTIONALIZED 

(a) Recovery shall be claimed for all Medicaid pay- 
ments, including cost sharing charges for Medicare 
services and Medicare premiums, made on behalf of 
individuals for the period of time the individual received 
care in a medical institution, including the period of time 
prior to the date the recipient is determined permanently 
institutionalized whether or not such periods were consecu- 
tive. The amount of recovery « shall be limited to the 
amount of Medicaid payments for services and benefits 
described herein. 

(b) No recovery wiH shall be claimed for any period of 
time the recipient was discharged from a medical institution 
and lived in the community for a period of 30 or more 
consecutive days. 

(c) No recovery wiH shall be claimed if the recipient is 
survived by one or more of the relatives listed in Section 
.0100 of this Subchapter. 

(d) No recovery wiH shall be claimed if the Division of 
Medical Assistance determines under provisions of Section 
.0500 of this Subchapter that it is not cost effective or if 
recovery would create undue hardship to a survivor. 

History Note: Authority G.S. 108A-70.5; 42 U.S.C. 

I396p.; 

Temporary Adoption Eff. May 6, 1996 to expire on July 1 , 

1996, or the last day of the 1996 session of the General 

Assembly, whichever is later. 

.0302 AGE 55 and OVER 

(a) Recovery shall be claimed for Medicaid payments 
for the following services and benefits: 

(1) Nursing facility level of care; 

(2) Home and community based alternatives ser- 
vices; 

(3) Hospital inpatient and outpatient Related hospital 
care received during approved care under either 
Subparagraph (1) or (2) of this Paragraph. 

(4) Prescription drugs received during approved care 
under either Subparagraph (1) or (2) of this 
Paragraph; and 

(5) Medicare premiums paid during the time of 
approved care under either Subparagraph (1) or 
(2) of this Paragraph. 

(b) The amount of recovery » shall be limited to the 
amount of Medicaid payments and benefits described in 
Paragraph (a)(l)-(5) of this Rule. 

(c) No recovery wiH shall be claimed if the recipient is 
survived by one or more relatives listed in Section .0100 



of this Subchapter. 

(d) No recovery will shall be claimed if the Division of 
Medical Assistance determines under provisions of Section 
.0500 of this Subchapter that it is not cost effective or if 
recovery would create undue hardship to a survivor. 

History Note: Authority G.S. 108A-70.5; 42 U.S.C. 

1396p.; 

Temporary Adoption Eff. May 6, 1996 to expire on July 1 , 

1996, or the last day of the 1996 session of the General 

Assembly, whichever is later. 

SECTION .0400 - FILING AND COLLECTION OF 
CLAIMS AGAINST ESTATE 

.0401 FILING CLAIM AGAINST ESTATE 

(a) Within 60 days after the date of a recipient's death, 
the Division of Medical Assistance or its fiscal agent shall 
produce a claim document summarizing all Medicaid 
payments subject to recovery as stated in Rules .0301 and 
.0302 of this Subchapter. 

(b) The claim shall be mailed to the county department 
of social services from which the individual received 
Medicaid. 

(c) Following a determination that the recipient is not 
survived by any of the relatives listed in Section .0100 of 
this Subchapter, the county department of social services 
shall file the claim by certified mail with the individual 
who has been named to administer the estate and shall send 
a copy to the clerk of court for his records. At the time 
the claim is filed the administrator shall be notified that 
recovery will be waived if the assets in the estate are below 
five thousand dollars ($5,000), and of the procedures for 
requesting a determination of undue hardship. 

(d) The claim shall be filed regardless of whether an 
appeal or determination of permanent institutionalization 
status has been decided. 

(e) (d) If an administrator of the decedent's estate has 
not been appointed at the time the claim is received in the 
county, within 30 calendar days the county shall request 
the name of the administrator from the clerk of court and 
shall file the claim directly with the clerk of court if no 
appointment has been made. 

(fj fe) At any time that the county department of social 
services determines that the decedent is survived by any of 
the relatives listed in Section .0100 of this Chapter or that 
the decedent does not have an estate, it shall notify the 
Division of Medical Assistance to cease recovery efforts. 

History Note: Authority G.S. 108A-70.5; 42 U.S.C. 

1396p.; 

Temporary Adoption Eff. May 6, 1996 to expire on July 1, 

1996, or the last day of the 1996 session of the General 

Assembly, whichever is later. 

.0402 COLLECTION OF CLAIMS 

(a) Estate for purposes of recovery of Medicaid pay- 



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merits is defined under G.S. 28A-15-1. 

(p) Unless the Division of Medical Assistance waives or 
reduces its claim, recovery under rules in Section .0500 of 
this Subchapter, recovery shall be claimed in fuU for the 
amount of the Medicaid claim to the extent that assets in 
the estate are sufficient to meet the state's claim as a fifth 
class creditor. 

(c) All recoveries for Medicaid claims shall be remitted 
to the Division of Medical Assistance by the administrator 
of the decedent's estate, any individual or entity designated 
by the clerk of court or by the clerk of court. 

(d) Amounts recovered shall be shared by the federal , 
state and county governments in proportion to the financial 
share of program costs borne by each at the time recovery 
is received. 



poverty level and assets in which the survivor or 
his spouse have an interest are valued below 
twelve thousand dollars ($12,000). 

(c) Undue hardship dees shall not include loss of a pre- 
existing standard of living nor the establishment of a source 
of maintenance that did not exist prior to the decedent's 
death. 

(d) A claim of undue hardship to a survivor shall be 
made in writing to the Division of Medical Assistance 
estate recovery administrator within 90 30 days after the 
surviving heir claiming undue hardship has been notified of 
the Medicaid claim, claim has been filed with the admini s 
trotor or clerk of court. The claim of hardship must shall 
describe the financial circumstances of the heir and the 
basis for his dependence on assets in the decedent's estate. 



History Note: Authority- G.S. 108A-70.5; 42 U.S.C. 

1396p.; 

Temporary Adoption Eff. May 6, 1996 to expire on July 1 . 

1996, or the last day of the 1996 session of the General 

Assembly, whichever is later. 



History Note: Authority G.S. 108A-70.5; 42 U.S.C. 
1396 P . ; 

Temporary Adoption Eff. May 6, 1996 to expire on July I , 
1996, or the last day of the 1996 session of the General 
Assembly, whichever is later. 



SECTION .0500 - WAIVER OF RECOVERY 

.0501 RECOVERY NOT COST EFFECTIVE 

Recovery shall be deemed to not be cost effective and 
shall be waived when: 

(1) The amount of Medicaid payments for services 
and benefits subject to recovery is less than three 
thousand dollars ($3,000). or 

(2) The assets in the estate are below five thousand 
dollars ($5,000). 

History Note: Authority G.S. 108A-70.5; 42 U.S.C. 
1396p. : 

Temporary Adoption Eff. May 6, 1996 to expire on July 1 , 
1996, or the last day of the 1996 session of the General 
Assembly, whichever is later. 

.0502 UNDUE HARDSHIP 

(a) Recovery w shall be waived if enforcement of the 
claim will cause undue or substantial hardship to the 
surviving heirs of the decedent. 

(b) Undue or substantial hardship is shall be deemed to 
exist when: 

(1) Real or personal property included in the estate 
is the sole source of income for a survivor and 
the net income derived is below 75 percent of 
the federal poverty level for the dependents of 
the survivor(s) claiming hardship, or 

(2) Recovery would result in forced sale of the 
residence of a survivor who lived in the resi- 
dence for at least 12 months immediately prior to 
and on the date of the decedent's death and who 
would be unable to obtain an alternate residence 
because the net income available to the survivor 
and his spouse is below 75 percent of the federal 



.0503 DETERMINATION OF UNDUE HARDSHIP 

(a) The estate recover)' administrator shall evaluate each 
claim of hardship within 60 calendar days of the request to 
make a determination to waive recovery of the claim in 
part or in full. In making this determination, the adminis- 
trator may request documentation to support the survivor's 
claim of hardship including prior year's income tax 
returns, bank statements, wage and earnings files, real and 
personal property records, utility records, tax records, 
medical bills, or other documents offered by the survivor 
to support his claim. 

(b) If documentation necessary to evaluate the claim of 
hardship is not provided or the survivor requests additional 
time to obtain the documentation, the administrator may 
extend the review for an additional 30 days. 

(c) The claim of hardship shall be denied if the neces- 
sary documentation is not provided within the time frames 
stated in Paragraphs (a) and (b) of this Rule. 

(d) The administrator shall notify in writing the survivor 
claiming hardship, the administrator and the clerk of court 
of his decision within 10 calendar days after completing the 
review of the request and documentation supporting the 
claim of hardship. The notice shall explain the right to 
appeal to the Office of Administrative Hearings (OAH) and 
the time limit and procedure for doing so. 

(e) If the survivor disagrees with the decision, he may 
appeal to the Office of Administrative Hearings (OAH) 
within 30 60 calendar days of receipt of the decision. If 
no appeal to OAH is filed, the decision is shall be final. 

History Note: Authority G.S. 108A-70.5; 42 U.S.C. 

I396p.; 

Temporary Adoption Eff. May 6, 1996 to expire on July 1 . 

1996, or the last day of the 1996 session of the General 

Assembly, whichever is later. 



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TITLE 21 - OCCUPATIONAL LICENSING 
BOARDS 

CHAPTER 69 - BOARD FOR LICENSING 
OF SOIL SCIENTISTS 

Rule-making Agency: North Carolina Board for Licens- 
ing of Soil Scientists 

Rule Citation: 21 NCAC 69 .0101 - .0104, .0201 - .0202, 
.0301 - .0308, .0401 - .0402, .0501 

Effective Date: May 15, 1996 

Findings Reviewed by the Codifier of Rules: Approved 

Authority for the rule-making: G.S. 89F 

Reason for Proposed Action: Passage of G.S. 89F in 

Julx. 1995 established licensing of soil scientists. The 
licensing board created by this statute requires rules for its 
function especially with respect to allowing licensing 
without examination prior to November, 1996. Notice of 
rule-making proceedings was published in the Register on 
January 2, 1996. 

Comment Procedures: All persons interested in this 

matter are encouraged to submit written comments or 
questions to H.J. Kleiss, NC Board for Licensing of Soil 
Scientists, PO Box 5316, Raleigh, NC 27650-5316. 
Comments will be accepted through June 14, 1996. 

Instructions on How to Demand a Public Hearing: 

Contact the NC Board for Licensing of Soil Scientists, PO 
Box 5316, Raleigh, NC 27650-5316. A request for a 
hearing must be received by the Board within 15 days from 
the publication of this notice. 

SECTION .0100 - STATUTORY AND 
ADMINISTRATIVE PROVISIONS 

.0101 AUTHORrrY: NAME AND LOCATION OF 
BOARD 

The "North Carolina Soil Scientist Licensing Act". G.S. 
89F. establishes and authorizes the "North Carolina Board 
Scientists" 



for Licensing of Soi 

"Board". Unless otherwise directed a 



hereafter called the 



communications 



preside at all meetings, appoint committees, sign all 
certificates issued and perform all duties pertaining to his 
office. 

(b) Vice-Chairmaji. The Vice-Chairman. in the absence 
of the Chairman, shall perform all of the duties of the 
Chairman. 

(c) Secretary-Treasurer: 

(1) The Secretary-Treasurer, with the assistance of 
other officers or employees that may be ap- 
proved by the Board, shall conduct and care for 
all correspondence of the Board, keep minutes of 
all meetings, and keep all books and records. 
He shall have charge, care and custody of the 
official documents by order of the Board. He 
shall proyide notice to each member of the Board 
of the time and place of all meetings of the 
Board. 

(2) The Secretary-Treasurer, with the assistance of 
other officers or employees that may be ap- 
proy&d by the Board, shall receive all monies 
from applicants for annual renewal or other fees 
and deposit them in an authorized depositors' of 
the Board. 

(3) The Secretary-Treasurer shall mail a copy of 
G.S. 89F and the rules of this Chapter to each 
applicant for a license. 

History Note: Authority G.S. 89F-5: 
Temporary Adoption Eff. May 15, 1996. 

.0103 SEAL OF THE BOARD 

The official seal of the Board is the Seal of the State of 
North Carolina. 

History Note: Authority G.S. 89F-5; 
Temporary Adoption Eff. May 15, 1996. 

.0104 FEES 

Each completed application form shall be accompanied 
by the prescribed fee. Application fees shall not be 
refunded regardless of Board approval or disapproval of 
the application. 

( 1 ) application forms for licensing as a Soil Scien- 
tist, including a copy of the Licensing Act and 
rules J 5.00 

application for license 50.00 

examination 125.00 

license 85.00 



shall be addressed to the North Carolina Board for Licens- 



£2) 

[3] 



renewal of license 



50.00 



ing of Soil Scientists at PO Box 5316, Raleigh. North 
Carolina 27650-5316. 


(6) restoration of license 1 10.00 


(7) replacement of license 50.00 


(8) licensed soil scientist seal 30.00 


History Note: Authority G.S. 89F-4; 89F-5; 
Temporary Adoption Eff. May 15, 1996. 

.0102 DUTDZS OF OFFICERS 

(a) Chairman. The Chairman shall, when present. 


History Note: Authority G.S. 55B-10: 55B-11: S9F-25; 

150B-19: 

Temporary Adoption Eff. May 15, 1996. 


200 NORTH CAROLINA REGISTER 


May 15, 1996 11:4 



TEMPORARY RULES 



SECTION .0200 - LICENSING OF SOIL 
SCIENTISTS 

.0201 APPLICATION PROCEDURE 

(a) All applicants for licensing shall furnish the follow- 
ing: 

(1) A legible official copy of their college tran- 
script(s). and verification of graduation sent 
directly from the institution to the Board; 

(2) A record of experience in the practice of soil 
science including any of the applicant's written 
reports, maps, published articles or other materi- 
als the Board determines are appropriate to 
document the applicant's experience as a soil 
scientist; 

(3) Four references as defined in G.S. 89F-10(a)( 1 ); 

(4) Signed copy of Code of Professional Conduct; 

(5) A notarized copy of a completed application 
form; and 

(6) The application fee as prescribed in Rule .0104 
of this Chapter. 

(b) Applicants for licensing under comity shall submit 
an application form along with the prescribed fee. The 
Board may require the submittal of additional information 
if necessary to determine if the applicant meets the require- 
ments of G.S. 89F. 

(c) Applicants for reinstatement of an expired license 
shall submit a reinstatement application and the prescribed 
fee. 

(d) Applicants for reinstatement of a revoked or sus- 
pended license shall submit such information as js required 
by the Board, on a case-by-case basis, to determine their 
eligibility for reinstatement, and shall submit the prescribed 
fee. 

(e) Applicants who do not meet the minimum qualifica- 
tion for education as defined in G.S. 89F-10 but have a 
specific record of J_5 years or more experience jn the 
practice of soil science of a grade and character that 
indicates to the Board that the applicant is competent to 
practice soil science shall be admitted to the written 
examination. The applicant shall show evidence of the 
practicing experience. Upon passing such examination, the 
applicant shall be granted a license to practice soil science 
in this State, provided other requirements of G.S. 89F and 
the rules in this Chapter are met. 

History Note: Authority G.S. 89F-5; 89F-9; 89F-10; 

89F-12; 

Temporary Adoption Eff. May 15, 1996. 

.0202 EXPIRATIONS AND RENEWALS OF 
CERTIFICATES 

(a) The annual renewal fee of fifty dollars ($50.00) shall 
be payable to the Board. The Board shall send to each 
licensed soil scientist a form that requires the registrant to 
provide the Board with his business and residential address 
and to affix the registrant's North Carolina Licensed Soil 



Scientist seal thereupon. An applicant for renewal shall 
document continuing education as provided in Section 
.0300 of this Chapter. The completed forms along with 
the required fee shall be forwarded to the Board. 

(b) All licenses will expire on July _L Licenses that 
have not been renewed by September 1st may only be 
renewed by filing a restoration applicat i on and submitting 
a restoration fee. 

(c) The Soil Scientist-in-Training certificate shall not 
expire and therefore does not have to be renewed. 

History Note: Authority G. S. 89F-5; 
Temporary Adoption Eff. May 15, 1996. 

SECTION .0300 - CONTFNUEVG PROFESSIONAL 
COMPETENCY 

.0301 INTRODUCTION 

Every licensee shall meet the continuing professional 
education requirements of this Section as a condition for 
license renewal. 

History Note: Authority G.S. 89F-5; 
Temporary Adoption Eff. May 15, 1996. 

.0302 DEFINrriONS 

Terms used in this Section are defined as follows: 



lU 



m 



Oj 



(4} 



<?J 



Professional Development Hour (PDH) - One 
contact hour (nominal) of instruction or presenta- 
tion. 

College/Unit Semester/Quarter Hour - Credit 
assigned by a college or university for a com- 
pleted course. 

Course/ Activity - Any course or activity with a 
clear purpose and objective that maintains, 
improves, or expands the skills and knowledge 
of the licensee. 

Sponsor ; Organization or individual that has 
supplied information on a form furnished by the 
Board with respect to the organization or individ- 
ual's ability to provide instruction m "for credit" 
courses. Courses offered by those designated as 
"Sponsor" shall contain a clear purpose and 
objective, and result in the maintenance, im- 
provement, or expansion of skills and knowledge 
relevant to a licensee's field of practice. 
Courses offered by "Sponsors" are acceptable for 
PDH credit without scrutiny of individual course 
content. 

Renewal Period for Continuing Professional 
Education : The period for accumulating the 
required PDH units shall be three years. 



History Note: Authority G. S. 89F-5; 
Temporary Adoption Eff. May 15 , 1996. 

.0303 REQUIREMENTS 



11:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



201 



TEMPORARY RITES 



Even licensee shall obtain 45 PDH units during each 
three sear period of licensing. If a licensee exceeds the 
required number of units in any triennial period, a maxi- 
mum of j_5 PDH units may be carried forward into the 
subsequent period. Selection of courses and activities 
which meet the requirements of Rule .0302(3) of this 
Section shall be the responsibility of the licensee. Licens- 
ees have the option of selecting courses other than those 
offered by sponsors. Post evaluation of courses offered by 
other than sponsors as defined in Rule .0302(4) of this 
Section mav result in non-acceptance. PDH units may be 
earned as follows: 

(1 ) Completion of college courses. 

(2) Completion of continuing education courses. 

(3) Completion of correspondence, televised, video- 
taped , audio taped. and other short 
courses tutorials. 

(4) Presenting or attending seminars, in-house 
courses, workshops, or professional or technical 
presentations made at meetings, conventions or 
conferences. 

(5) Teaching or instructing in Items (1 ) through (4) 
of this Rule. 

(6) Authoring published papers, articles, or books. 

(7) Active participation in professional or technical 
societies. 

(8) Patents. 



activity is completed or until the end of each year of 
service is completed. The following criteria will be used 
in determining PDH credits: 

(1 ) Credit for college or community college courses 
will be based upon course credit established by 
the college. 

(2) Credit for seminars and workshops, shall be 
based on one PDH unit for each hour of atten- 
dance. 

(3) Attendance at programs presented at professional 
and technical society meetings shall earn PDH 
units for the actual time of each program with a 
maximum of J_5 for a given meeting. 

(4) Credit determination for published papers, 
articles and books and obtaining patents is the 
responsibility of the licensee with final approval 
by the Board. 

(5) Credit for active participation in professional and 
technical societies (limited to 2 PDH per organi- 
zation), requires that a licensee serve as an 
officer or actively participate in a committee of 
the organization. PDH credits shall not be 
earned until the end of each vear of service is 
completed. 

History Note: Authority G. S. S9F-5: 
Temporary Adoption Eff. May 15, 1996. 



History Note: Authority G.S. 89F-5; 
Temporary Adoption Eff. May 15 . 1996. 

.0304 UNITS 

The conversion of other units of credit to PDH units is 
as follows: 

( 1 ) 1 College or unit semester hour 15 PDH: 

(2) I College or unit quarter hour 10 PDH: 

(3) 1 Hour of professional development in course 
work, seminars, or professional or technical 
presentations made at meetings, conventions or 
conference \ PDH: 

For teaching in Items (jj : (4j of this Rule. PDH 
credits are doubled *; 

Each published paper, article or book 10 PDH: 
Active participation in professional and technical 
society . (Each organization.) 2 PDH: 
Each patent 10 PDH. 

^Teaching credit is valid for teaching a course or 
seminar for the first time only. 

History Note: Authority G. S. S9F-5: 
Temporary Adoption Eff. May 15. 1996. 

.0305 DETERMINATION OF CREDIT 

The Beard for Licensing of Soil Scientists shall have 
final authority with respect to approval of courses, spon- 
sors, credit, PDH value for courses, and other methods of 
earning credit. PDH credits are not earned until the 



Li 

L^ 
[6J 

Li 



.0306 RECORDKEEPING 

(a) Each licensee shall maintain records to be used to 
support credits claimed. Records required include, but are 
not limited to: 

( 1 ) a log showing the type of activity claimed, 
sponsoring organization, location, duration, 
instructor's or speaker's name, and PDH credits 
earned: 

(2) attendance verification records in the form of 
completion certificates, or other documents 
supporting evidence of attendance. 

(b) These records shall be maintained for a period of 
three years and copies may be requested by the board for 
audit verification purposes. 

History Note: Authority G.S. 89F-5; 
Temporary Adoption Eff. May 15, 1996. 

.0307 EXEMPTIONS 

A licensee shall be exempt from the continuing profes- 
sional development educational requirements for one of the 
following reasons: 

( 1 ) A licensee serving on temporary active dutv in 
the armed forces of the United States for a 
period of time exceeding 120 consecutive days in 
a year shall be exempt from obtaining the contin- 
uing professional education hours required 
during that year. 

(2) Licensees experiencing physical disability (as 



202 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



TEMPORARY RULES 



defined in G.S. 168A), illness, or other circum- 
stances beyond the control of the licensee as 
reviewed and approved by the Board may be 
exempt. Supporting documentation shall be 
furnished to the Board. 
(3) Licensees who list their occupation as "Inactive" 
on the renewal form and who further certify that 
they are no longer receiving any remuneration 
from providing professional soil services shall be 
exempt from the continuing professional educa- 
tion hours required, In the event such a person 
elects to return to active soil science practice, 
professional development hours shall be earned 
in accordance with the requirements of Rule 
.0308 m this Section before returning to active 
practice. 

History Note: Authority G.S. 89F-5; 
Temporary Adoption Ejf. May 15. 1996. 

.0308 REINSTATEMENT 

A licensee may bring an inactive license to active status 
by obtaining all delinquent PDH units and paying the 
restoration fee. However, if the total number required to 
become current exceeds 30, then 30 shall be the maximum 
number required. 

History Note: Authority G.S. 89F-5: 
Temporary Adoption Ejf. May 15, 1996. 

SECTION .0400 - STANDARDS OF 
PROFESSIONAL CONDUCT 

.0401 CODE OF PROFESSIONAL CONDUCT 

(a) A soj] scientist shall conduct his practice in order to 
protect the public health, safety and welfare. The soil 
scientist shall at all time recognize his primary obligation 
to protect the safety, health, and welfare of the public in 
the performance of his professional duties. 

(b) A soil scientist shall perform his services only in 
areas of fys competence and: 

(1 ) shall undertake to perform assignments only 
when qualified by education or experience in the 
specific technical field of soil science involved. 

(2) shall not affix his signature or seal to any docu- 
ment dealing with subject matter to which he 
lacks competence by virtue of education or 
experience, nor to any such plan or document 
not prepared under his direct supervisory control 
except that the soil scientist may affix his seal 
and signature to documents depicting the work of 
two or more professionals provided he designates 
by note under his seal the specific subject matter 
for which he is responsible. 

(c) A soil scientist shall issue public statements only in 
an objective and truthful manner and: 

(1) shall be completely objective and truthful in all 



professional reports, statements or testimony. 
He shall include relevant and pertinent informa- 
tion in such r eports, statements or testimony. 

(2) when serving as an expert or technical witness 
before any court, commission, or other tribunal, 
shall express an opinion only when U is founded 
upon knowledge of the facts in issue, upon a 
background of technical competence in the 
subject matter, and upon honest conviction of the 
accuracy and propriety of hus testimony. 

(3) shall issue no statements, criticisms, or argu- 
ments on soil science matters connected with 
public policy which are inspired or paid for by 
an interested party, or parties unless he has 
prefaced his comment by explicitly identifying 
himself, by disclosing the identities of the parties 
on whose behalf he is speaking, and by revealing 
the existence of any pecuniary interest he may 
have in the instant matters. 

(4) shall not attempt to injure, maliciously or falsely, 
directly or indirectly, the professional reputation, 
prospects, practice or employment of another 
soil scientist, nor shall he indiscriminately criti- 
cize another soil scientist's work in public. If he 
believes that another soil scientist is guilty of 
misconduct or illegal practice, he shall present 
such information to the proper authority for 
action. 

(d) A soU scientist shall avoid conflicts of interest and: 

( 1) shall promptly inform his employer or client of 
any business association , interest, or circum- 
stances, which could influence his judgment or 
the quality of his services. 

(2) shall not solicit or accept financial or other 
valuable considerations from material or equip- 
ment suppliers for specifying their products 
without full disclosure. 

(3) shall not solicit or accept gratuities, directly or 
indirectly, from contractors, their agents, or 
other parties dealing with his client or em ployer 
in connection with work for which he is respon- 
sible. 

(4) when in public service as a member, advisor, or 
employee of a governmental body or department, 
the soil scientist shall abstain from voting on 
matters involving services provided by him or 
his organization in private soil science practices. 

(5) shall not solicit or accept a contract from a 
governmental body on which a principal or 
officer of his organization serves as a member 
without full disclosure to affected parties. 

(6) shall not attempt to supplement another soil 
scientist in a particular employment after becom- 
ing aware that the other has been selected for the 
employment. 

(e) A soil scientist shall solicit or accept work only on 
the basis of hjs qualifications and: 



1:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



203 



TEMPORARY RULES 



(1) shall disclose to affected parties any payment, 
either directly or indirectly, any commission, 
political contribution, or a gift, or other consid- 
eration in order to secure work, exclusive of 
securing salaried positions through employment 
agencies, 

(2) shall compete for professional employment on 
the basis of qualification and competence for 
proper accomplishment of the work. He shall 
not solicit or submit proposals for professional 
services containing a false, fraudulent, mislead- 
ing deceptive or unfair statement or claim re- 
garding the cost, quality or extent of services to 
be rendered. 

(3) shall not falsify or permit misrepresentation of 
his, or his associates', academic professional 
qualification. He shall not misrepresent or 
exaggerate his degree of responsibility in or for 
the subject matter of prior assignments. Bro- 
chures or other presentations incident to the 
solicitation of employment shall not misrepresent 
pertinent facts concerning employers, employees, 
joint ventures, or his or their past accomplish- 
ments with the intent and purpose of enhancing 
his qualifications and his work. 

(4) shall not knowingly associate with or permit the 
use of his name or firm name in a business 
venture b-y_ any_ person or firm which he knows, 
or has reasons to believe, is engaging in business 
or professional practices of a fraudulent or 
dishonest nature. 

(5) if the soil scientist has knowledge or reason to 
believe that another person or firm may be in 
violation of any of these provisions or of the 
North Carolina Soil Scientist Licensing Act, he 
shall present such information to the Board and 
shall cooperate with the Board in furnishing such 
further information or assistance as may be 
required by the Board. 

(f) A soil scientist whose professional registration is 
revoked or suspended by another jurisdiction, shall be 
subject to disciplines by the Board if the registrant's actions 
violate G.S. 89F or the rules in this Chapter. Conviction 
of a felony without restoration of civil rights, or the 
revocation or suspension of the license of a soil scientist by 
another jurisdiction, if for a cause which in the State of 
North Carolina would constitute a violation of G.S. 89F or 
of these Rules, shall be grounds for a charge of violation 
of the rules in this Chapter. 

History Note: Authority G.S. 89F-17; 
Temporary Adoption Eff. May 15, 1996. 

.0402 RULES OF CONDUCT OF ADVERTISING 

(a) A soil scientist shall not make exaggerated, mislead- 



ing, deceptive or false statements or claims about his 
professional qualifications, experience or performance in 



his brochures, correspondence, listings or other public 
communications. 

(b) The prohibitions listed in Paragraph (a) of this Rule 
include, but are not limited to. the use of statements 
containing a material misrepresentation of fact or omitting 
a material fact necessary to keep the statement from being 
misleading; statements intended or likely to create an 
unjustified expectation; statements containing prediction of 
future success; or statements containing an opinion as to 
the quality of services. 

(c) Consistent with the foregoing, a soil scientist may 
advertise for recruitment of personnel. 

(d) Consistent with the foregoing, a soil scientist may 
prepare articles for the lay or technical press. Such 
articles shall not imply credit to the author for work 
performed by others. 

History Note: Authority G.S. 89F-17; 
Temporary Adoption Eff. May 15, 1996. 

SECTION .0500 - DISCIPLINARY ACTION AND 
PROCEDURE 

.0501 IMPROPER PRACTICE BY LICENSEE 

(a) Duty of the Board. When the Board becomes aware 
of an alleged violation, it shall send a "letter of inquiry" to 
the soil scientist allegedly involved and to the complainant. 
The soil scientist shall reply to this and any other inquiry 
of the Board within 30 calendar days. Failure to respond 
will constitute violation of the rules in this Chapter. After 
receiving and considering the response from the soil 
scientist, the Board may send additional letters of inquiry 
to the soil scientist and other persons allegedly involved. 

(b) Findings of the Board. Upon consideration of 
responses to inquiries, the Board shall determine what 
action shall be taken: 



LU 



if the Board determines that no disciplinary 
action is necessary, all parties previously con- 
tacted shall be so informed; 
f the Board determines that the infraction is 



(2) if the 
deemed minor, then the licensee may be offered 
a "letter of warning". This "letter of warning" 
shall note the licensee's acceptance of such 
action by the Board and shall specify the Board's 
cause for concern. Other persons previously 
contacted shall be informed that the Board has 
acted upon the matter; 

(3) if the Board determines that a formal hearing 
should be held, G.S. 150B is applicable; 

(4) if the Board determines that another person 
allegedly involved is licensed by the State, 
relevant information shall be sent by letter to the 
respective professional board. 

History Note: Authority G.S. 89F-5; 89F-18; 89F-20; 

89F-22; 

Temporary Adoption Eff. May 15, 1996. 



204 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



APPROVED RULES 



This Section includes the Register Notice citation to Rules approved by the Rules Review Commission (RRC) at its 
meeting of April 18. 1996 pursuant to G.S. 150B-21. 17(a)(1) and reported to the Joint Legislative Administrative 
Procedure Oversight Committee pursuant to G.S. 150B-21. 16. The full text of rules are published below when the 
rules have been approved by RRC in a form different from that originally noticed in the Register or rules which notice 
in the Register was not required. The rules published in full text are identified by an * in the listing of approved 
rules. 



APPROVED RULE CITATION 



REGISTER CITATION TO THE 
NOTICE OF TEXT 



10 


NCAC 


03C 


.6208 


* 




10 


NCAC 


26 B 


.0105 


* 




12 


NCAC 


021 


.0101 


* 




12 


NCAC 


021 


.0206 


* 




12 


NCAC 


021 


.0210 


* 




15A 


NCAC 


18A 


.1814 


* 




15A 


NCAC 


20D 


.0243 


* 




17 


NCAC 


06 B 


.0612 


* 




17 


NCAC 


06 B 


.3716 


* 




17 


NCAC 


07 B 


.1101 


* 




17 


NCAC 


07B 


.1105 






17 


NCAC 


07B 


.1108 


- 


1110 


17 


NCAC 


07B 


.1112 






17 


NCAC 


07B 


.1114 






17 


NCAC 


07B 


.1123 


* 




17 


NCAC 


07B 


.1602 


* 




17 


NCAC 


07 B 


.1701 


- 


1702 * 


17 


NCAC 


07 B 


.1802 


* 




17 


NCAC 


07 B 


.2401 


* 




17 


NCAC 


07 B 


.2601 






17 


NCAC 


07 B 


.4002 






17 


NCAC 


07 B 


.4004 






17 


NCAC 


07 B 


.4008 


* 




17 


NCAC 


07B 


.4301 


* 




17 


NCAC 


07B 


.4408 


* 




17 


NCAC 


07B 


.4902 


* 




21 


NCAC 


01 


.0705 


* 




21 


NCAC 


01 


.0709 


♦ 




21 


NCAC 


32H 


.0101 


* 




21 


NCAC 


32H 


.0102 


+ 




21 


NCAC 


32H 


.0201 


* 




21 


NCAC 


32H 


.0301 


- 


0303 * 


21 


NCAC 


32H 


.0401 


- 


0404 * 


21 


NCAC 


32H 


.0406 


* 




21 


NCAC 


32H 


.0407 


- 


0408 


21 


NCAC 


32H 


.0409 


* 




21 


NCAC 


32H 


.0501 


- 


0502 * 


21 


NCAC 


32H 


.0504 


- 


0506 * 


21 


NCAC 


32H 


.0507 


* 




21 


NCAC 


32H 


.0601 


* 




21 


NCAC 


32H 


.0602 






21 


NCAC 


32H 


.0701 


+ 




21 


NCAC 


32H 


.0801 


* 




21 


NCAC 


32H 


.0901 


* 





Not Required, G.S 
10:22 NCR 2831 


. 150B-21.5 


Not Required, G.S 
Not Required, G.S 
Not Required, G.S 
Not Required, G.S 
Not Required, G.S 
10:22 NCR 2833 - 


. 150B-2 1.5(a)(4) 
. 150B-2 1.5(a)(4) 
. 150B-21. 5(a)(4) 
. 150B-21.5 
. 150B-21. 5(a)(5) 
2834 


10:22 NCR 2834 




10:21 NCR 2689 - 


2690 


10:21 NCR 2690 
10:21 NCR 2690 




10:21 NCR 2690 - 


2691 


10:21 NCR 2691 




10:21 NCR 2691 




10:21 NCR 2691 - 


2692 


10:21 NCR 2692 - 


2693 


10:21 NCR 2693 - 


2694 


10:21 NCR 2694 - 
10:21 NCR 2695 


2695 


10:21 NCR 2695 - 


2696 


10:21 NCR 2696 




10:21 NCR 2696 




10:21 NCR 2696 - 


2698 


10:21 NCR 2698 




10:21 NCR 2698 




10:22 NCR 2834 - 
10:22 NCR 2834 - 


2835 
2835 


10:22 NCR 2835 




10:22 NCR 2835 - 


2837 


10:22 NCR 2837 
10:22 NCR 2838 - 


2839 


10:22 NCR 2839 - 


2842 


10:22 NCR 2842 - 


2843 


10:22 NCR 2843 




10:22 NCR 2843 




10:22 NCR 2843 - 


2845 


10:22 NCR 2845 - 


2848 


10:22 NCR 2848 




10:22 NCR 2848 - 


2849 


10:22 NCR 2849 




10:22 NCR 2849 




10:22 NCR 2849 
10:22 NCR 2849 





1:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



205 



APPROVED RULES 



21 


NCAC 


32H 


.0902 




21 


NCAC 


54 


.2704 * 




21 


NCAC 


54 


.2706 * 




21 


NCAC 


68 


.0101 * 




21 


NCAC 


68 


.0102 




21 


NCAC 


68 


.0201 




21 


NCAC 


68 


.0202 - 


.0206 * 


21 


NCAC 


68 


.0207 




21 


NCAC 


68 


.0208 - 


.0213 * 


21 


NCAC 


68 


.0401 - 


.0403 * 


21 


NCAC 


68 


.0404 




21 


NCAC 


68 


.0405 - 


.0407 * 


21 


NCAC 


68 


.0701 - 


.0703 * 


21 


NCAC 


68 


.0704 - 


.0705 


21 


NCAC 


68 


.0706 - 


.0707 * 


21 


NCAC 


68 


.0708 




21 


NCAC 


68 


.0709 * 





10:22 NCR 2850 

Not Required, G.S. 150B-21.5(5) 

Not Required, G.S. 150B-21.5(5) 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 

10:22 NCR 2850 



TITLE 10 - DEPARTMENT OF HUMAN RESOURCES 

CHAPTER 3 - FACILITY SERVICES 

SUBCHAPTER 3C - LICENSING OF HOSPITALS 

SECTION .6200 - CONSTRUCTION 
REQUIREMENTS 

.6208 OBSTETRICAL DEPARTMENT 
REQUIREMENTS 

(a) The obstetrical unit shall be located so as to prevent 
unrelated traffic through the unit and to provide for 
reasonable protection of mothers from infection and from 
cross-infection. 

(b) An emergency communication system connected to 
the operations and control station shall be provided by the 
facility. 

(c) Resuscitation facilities for neonates shall be provided 
within the obstetrical unit and convenient to the delivery 
room. 

(d) A labor room shall be provided and shall meet the 
following requirements: 

(1) A minimum of 80 sq. ft. of area shall be pro- 
vided per labor bed; 

The labor rooms shall be located so as to permit 
visual observation of each room from the nurses' 
work station; 

Labor rooms shall afford privacy, and shall be 
conveniently located with reference to the deliv- 
ery room; 

If labor rooms also serve as birthing rooms, they 
shall be equipped to handle obstetric and neona- 
tal emergencies; 

A labor room shall contain facilities for medica- 
tion, hand washing, charting, and storage for 
supplies and equipment; 
At least one shower with direct access from 



(2) 



(3) 



(4) 



(5) 



(6) 



within the delivery unit shall be provided; 

(7) At least two labor beds with adjacent toilet shall 
be provided for each delivery room; and 

(8) No more than two labor beds may be located in 
one labor room. 

(e) A toilet with hand-washing facilities shall be pro- 
vided for the staff. 

(f) A separate recovery room may be omitted in 
facilities with less than 1500 births per year. When 
provided, the recovery room shall meet the following 
requirements: 

(1) A recovery room shall contain not less than two 
beds and shall have charting facilities located so 
as to permit visual observation of all beds; 

(2) Provisions for medicine dispensing, hand wash- 
ing, clinical sink with bedpan washer, and 
storage for supplies and equipment shall be 
provided; and 

(3) A toilet with hand washing facilities shall be 
provided for staff. 

(g) When a facility elects to provide labor, delivery and 
recovery room (LDR) service as a part of its total services, 
the following requirements shall be met: 

(1) Each LDR room shall have a minimum of 250 
square feet of floor space exclusive of toilet 
room, closet, or vestibule; 

(2) A toilet directly accessible from each LDR room 
shall be provided for use by that room only and 
equipped with a clinical sink or other suitable 
flushing device for emptying bed pans; 

(3) Each LDR room shall be provided with directly 
accessible shower for use by that room only; 

(4) Each LDR room shall be equipped with oxygen, 
suction, medical air, and electrical outlets; and 

(5) Each LDR room shall contain facilities for 
medication storage, hands-free hand washing, 
charting, and storage for supplies and equipment. 

(h) When a facility elects to provide labor, delivery, 



206 



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11:4 



APPROVED RULES 



recovery and postpartum (LDRP) service as a part of its 
total services the following requirements shall be met: 

(1) Each LDRP room shall meet the requirements 
listed in Rulo .620 8 (h) of thia Section; Paragraph 
(g) of this Rule; and 

(2) Each LDRP room shall be counted as a single 
patient room for purposes of determining the 
facility's bed capacity. 

(i) The following shall be provided: 

(1) If analgesia is used, beds shall be equipped with 
side rails; and 

(2) There shall be facilities for examination and 
preparation of patients. 

(j) The obstetrical (OB) unit shall be provided with the 
following services either in individual rooms, alcoves, or 
other open spaces not subject to traffic: 

(1) Scrub facilities with stations located adjacent to 
each pair of delivery rooms and arranged to 
minimize incidental splatter on nearby personnel 
or supply carts; 

(2) A storage room for equipment and supplies; 

(3) One delivery room with support services meeting 
the requirements of a surgical operating room 
and support services referenced in Rule .6206 of 
this Section if caesarean sections are to be 
performed in the obstetrical delivery unit; and 

(4) One janitor's closet exclusively for use by the 
obstetrics unit. 

(k) The obstetrical unit shall be provided with the 
following services either in individual rooms, alcoves, or 
other open spaces not subject to traffic, however, they may 
be located either in the obstetrics unit or may be shared 
with the surgical unit if arranged so as to avoid cross 
traffic between the surgical and obstetrics units: 

(1) Delivery unit control station located so as to 
permit visual surveillance of all traffic which 
enters the obstetrical unit; 

(2) Supervisor's office or station; 

(3) Medicine dispensing facilities; 

(4) Scrub facilities with stations located adjacent to 
each pair of delivery rooms and arranged so as 
to minimize incidental splatter on nearby person- 
nel or supply carts; 

(5) Soiled workroom or a soiled holding room as a 
part of a system for the collection and disposal 
of soiled materials: 

(A) A soiled workroom may not be shared 
with the surgical unit and shall contain a 
flushing device, a work counter and sink 
equipped for hand washing, a waste recep- 
tacle, and a linen receptacle; and 

(B) A soiled holding room may be shared with 
the surgical unit and shall be similar to the 
soiled workroom except that the flushing 
device and work counter may be omitted. 

(6) Fluid waste disposal facilities convenient to the 
delivery rooms; the flushing device in a soiled 



workroom meets this requirement; 

(7) Staff clothing change areas appropriate for male 
and female personnel working within the obstet- 
rics unit including lockers, shower, toilet, and 
lavatory, and space for donning scrub suit and 
boots; 

(8) Lounge and toilet facilities for obstetrical staff; 

(9) Stretcher storage provisions out of direct line of 
traffic; 

(10) Clean workroom, or clean supply room: 

(A) A clean workroom or supply room is 
required when clean materials require 
assembly prior to use and this assembly is 
performed within the obstetrics unit; and 

(B) Clean workroom shall contain a work 
counter, a sink equipped for hand wash- 
ing, and space for clean and sterile sup- 
plies; 

(11) Anesthesia workroom for the cleaning, testing, 
and storage of anesthesia equipment with a work 
counter and sink; 

(12) Space for storage of nitrous oxide and oxygen 
cylinders; 

(13) A storage room for equipment and supplies used 
in a surgical unit; 

(14) Delivery room(s) used for no other purpose than 
for the completion of labor and delivery and 
including a minimum clear area of 300 square 
feet, exclusive of fixed and movable cabinets and 
shelves. The minimum room dimension shall be 
16 feet; and 

(15) One delivery room meeting the following re- 
quirements if caesarean sections are to be per- 
formed in the obstetrics unit: 

(A) The delivery room shall meet the require- 
ments for surgical operating rooms; and 

(B) Support services required for surgical 
operating rooms shall be provided. 

History Note: Authority G.S. 131E-79; 
Eff. January 1, 1996; 
Amended Eff. Max 1. 1996. 

CHAPTER 26 - MEDICAL ASSISTANCE 

SUBCHAPTER 26B - MEDICAL ASSISTANCE 
PROVIDED 

SECTION .0100 - GENERAL 

.0105 EYEGLASSES AND OPTOMETRIC 
SERVICES 

(a) All visual aids require prior approval. 

(a) (b) No eyeglass frames other than frames made of 
zylonit e zylonite, metal, or combination zylonite and metal 
shall be covered. 

fb) (c) Eyeglass repair or replacement, or any other 



1:4 



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May 15, 1996 



207 



APPROVED RULES 



service costing five dollars ($5.00) or less, shall not be 
covered. 

fe) (d] Prior approval shall be required for more than 
one refraction per year for any person up to age 25; more 
than one refraction every two years for any person aged 25 
and over; all e y e glasooo and oth e r visual aide; and all 
repairs and replacement of frames and lenses exceeding a 
cost of five dollars ($5.00). 

History Note: Authority G.S. 108A-25(b); 108A-54; 42 

C.F.R. 440.120; 

Eff. February 1, 1976; 

Readopted Eff. October 31, 1977; 

Amended Eff. August _L 1996; January 1, 1984. 



TITLE 12 - DEPARTMENT OF JUSTICE 

CHAPTER 2 - OFFICE OF THE ATTORNEY 
GENERAL 

SUBCHAPTER 21 - COMPANY AND RAILROAD 
POLICE 

SECTION .0100 - GENERAL PROVISIONS 

.0101 LOCATION 

The administrative office for the commissioning of 
company police officers and the certification of company 
police agencies is located in the office of the Criminal 
Justice Standards Division. Correspondence shall be 
directed to: 

Company Police Administrator 
Criminal Justice Standards Division 

Post Offic e Draw e r 149 

Ral e igh. North Carolina 27602 0149 

Company Police Program 

Post Office Drawer 310 

Raleigh. North Carolina 27602-0310 

Telephone: (919) 733-2530 

History Note; Authority G.S. 74E; 143A-54; 

Eff. February 1, 1976; 

Amended Eff. September 9, 1976; 

Readopted Eff. January 5. 1978; 

.Amended Eff. August 1± 1996; August 2, 1993; November 

1. 1984; September 1, 1981. 

SECTION .0200 - COMMISSIONED 

.0206 FEE 

(a) Upon notification that an application for a company 
police agency certification or a company police officer 
commission has be«n approved, the applicant shall forward 
a certified check or money order made out to the North 
Carolina Department of Justice to the: 

Company Police Administrator 



Criminal Justice Standards Division 

Poet Offioo Draw e r 149 

Ral e igh. North Carolina 27602 0119 

Company Police Program 

Post Office Drawer 310 

Raleigh. North Carolina 27602-0310 

Telephone: (919) 733-2530 

(b) The following fees shall be due and payable prior to 
the issuance of company police agency certification or a 
company police officer commission. 

(1) Application for certification as a company police 
agency - $250.00. 

(2) Annual renewal of certification as a company 
police agency - $200.00. 

(3) Application for reinstatement of certification as 
a company police agency - $1,000.00. 

(4) Application for commission as a company police 
officer - $100.00. 

(5) Annual renewal of commission as a company 
police officer - $50.00. 

(6) Application for reinstatement of commission as 
a company police officer - $150.00. 

(c) Currently commissioned company police officers 
will be required to submit the Application for Commission 
as a company police officer fee as set forth in Subpara- 
graph (b)(4) of this Rule. 

History Note; Authority G.S. 74E-12; 

Eff. February 1. 1976; 

Amended Eff. September 9, 1976; 

Readopted Eff. January 5, 1978; 

Amended Eff. August 2, 1993; September 1, 1981; 

Recodified from 12 NCAC 21 .0205 Eff. August 2, 1993; 

Amended Eff. August 1± 1996. 

.0210 LIABILrTY rNSURANCE 

(a) Any applicant for a non-public company police 
agency certification must file with the Company Police 
Administrator, either a copy of the liability insurance 
policy or a certificate of self insurance, at the following 
address: 

Company Police Administrator 
Criminal Justic e Standards Division 

Post Office Drawer 1 4 9 

Raleigh, North Carolina 27602 01 4 9 

Company Police Program 

Post Office Drawer 310 

Raleigh, North Carolina 27602-0310 

Telephone: (919) 733-2530 

(b) Any notice of cancellation by an insurance carrier 
shall be delivered by certified mail, return receipt re- 
quested, to the following address: 

Company Police Administrator 

Criminal Justice Standards Division 

Post Offic e Draw e r 149 

Raleigh, North Carolina 27602 01 4 9 

Company Police Program 






208 



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May 15, 1996 



11:4 



APPROVED RULES 



Post Office Drawer 310 

Raleigh, North Carolina 27602-0310 

Telephone: (919) 733-2530 

History Note: Authority G.S. 74E-3; 
Eff. August 2, 1993; 
Amended Eff. August 1. 1996. 



TITLE 15A - DEPARTMENT OF 

ENVIRONMENT, HEALTH, AND NATURAL 

RESOURCES 

CHAPTER 18 - ENVIRONMENTAL HEALTH 

SUBCHAPTER 18A - SANITATION 

SECTION .1800 - SANITATION OF LODGING 
PLACES 

.1814 DISPOSAL OF GARBAGE AND TRASH: 
PREMISES 

(a) All garbage and trash shall be collected and stored 
in covered containers in such a manner as not to create a 
nuisance. Garbage and trash storage containers shall be 
kept clean and in good repair. 

(b) There shall be no fly- or mosquito-breeding places, 
rodent harborages, or undrained areas on the premises. 
The premises shall be kept neat and clean. Rubbish, litter 
and other items not used in the operation of the establish- 
ment shall not be permitted to accumulate on the premises. 

(c) Facilities shall be provided for the washing and 
storage of garbage and trash containers, mops, mop 
buckets, mop wringers, and any other equipment used in 
the cleaning of the lodging establishment. Cleaning 
facilities shall include combination faucet, hot and cold 
water, hose bibb with a backflow prevention device and 
curved curbed impervious pad sloped to drain or other 
equivalent facilities or methods. Where dumpsters are 
used, a contract for off-site cleaning shall constitute 
compliance with the provision for cleaning facilities for 
such units. A current copy of the dumpster cleaning 
contract shall be made available at the time of inspection. 

History Note: Authority G.S. 130A-248; 

Eff. February 1. 1976; 

Readopted Eff. December 5, 1977; 

Amended Eff. August 1± 1996; Januarx 1 , 1996; September 

1, 1990. 

CHAPTER 20 - LABORATORY SERVICES 

SUBCHAPTER 20D - CERTIFICATION AND 
IMPROVEMENT 

SECTION .0200 - LABORATORY CERTIFICATION 



.0243 CHEMISTRY QUALITY ASSURANCE 

(a) The following general requirements for chemistry 
quality assurance (QA) shall be met: 

(1) All quality control information shall be available 
for inspection by the certification officer; 

(2) A manual of analytical methods and the labora- 
tory's QA plan shall be available to the analysts: 

(3) Class S weights or higher quality weights shall 
be available to make periodic checks on the 
accuracy of the balances. Checks shall be within 
range of the manufacturer's guidelines. A 
record of these checks shall be available for 
inspection. The specific checks and their fre- 
quency ar e to shall be as prescribed in the 
laboratory's QA plan or the laboratory's opera- 
tions manual. These checks shall be performed 
at least once a month. 

(4) Color standards or their equivalent, such as 
built-in internal standards, shall be available to 
verify wavelength settings on spectrophotom- 
eters. These checks shall be within the manufac- 
turer's tolerance limits. A record of the checks 
shall be available for inspection. The specific 
checks and their frequency shall be as prescribed 
in the laboratory's QA plan or the laboratory's 
operations manual. These checks shall be per- 
formed at least every six months. 

(b) The laboratory shall analyze performance samples as 
follows: 

(1) United States Environmental Protection Agency 
performance samples shall be analyzed semi- 
annually. Results shall be within control limits 
established by EPA for each analyte for which 
the laboratory is or wishes to be certified. 

(2) Double blind and blind samples shall be analyzed 
when submitted to a certified laboratory and 
results shall be within established control limits; 
these data shall be of equal weight to the EPA 
performance sample data and on site quality 
control sample data in determining the labora- 
tory's certification status. 

(3) On-site quality control samples shall be analyzed 
when presented to the laboratory by the certifica- 
tion evaluator and results shall be within estab- 
lished control limits. These data shall be of 
equal weight to the EPA performance evaluation 
sample data and the double blind sample data in 
determining the laboratory's certification status. 

(4) A laboratory shall have correctly analyzed two 
out of the last three performance samples for 
each analyte for which it is certified. In the 
event that a laboratory is decertified for failing 
to correctly analyze two out of the last three 
performance samples, the laboratory shall cor- 
rectly analyze two consecutive performance 
samples to have their certification reinstated. 
The performance samples shall be analyzed no 



1:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



209 



APPROVED RULES 



less than 30 days apart. A laboratory with less 
than three performance samples shall have 
successfully analyzed a minimum of two perfor- 
mance samples before their certification status 
may be determined. 

(5) Unacceptable performance on any of the samples 
in Paragraph (b) of this Rule shall be corrected 
and explained in writing within 30 days and 
submitted to the certification evaluator. 
(c) The minimum daily quality control (QC) for chemis- 
try shall be as follows: 

( 1 ) Inorganic Contaminants: 

(A) At the beginning of each day that samples 
are to be analyzed, a standard curve com- 
posed of at least a reagent blank and three 
standards covering the sample concentra- 
tion range shall be prepared. A standard 
curve is not required on each day of anal- 
ysis for samples analyzed for Nitrate by 
manual cadmium reduction or for Cya- 
nide. The standard curve shall be verified 
each day by analyzing a calibration stan- 
dard and a reagent blank. The calibration 
standard must be within + 10 percent of 
its true value in order to use the standard 
curve. If it is not within 10 percent of the 
true value, a new standard curve shall be 
prepared. 

(B) The laboratory shall analyze a QC sample 
(EPA QC sample or equivalent) at the 
beginning of the sample run, at the end of 
the sample run, and every 20 samples, 
with recoveries not to exceed + 10 per- 
cent of the true concentration. The source 
of this QC sample shall be different from 
the source used for the calibration stan- 
dards in Part (c)(1)(A) of this Rule. 

(C) The laboratory shall run an additional 
standard or QC check at the laboratory's 
lowest detectable limit for the particular 
analyte. The laboratory shall not report a 
value lower than the lowest standard or 
QC check analyzed. 

(D) The laboratory shall add a known spike to 
a minimum of 10 percent of the routine 
samples (except when the method specifies 
a different percentage, i.e. furnace meth- 
ods) to determine if the entire analytical 
system is in control. The spike concentra- 
tion shall not be substantially less than the 
background concentration of the sample 
selected for spiking. The spike recoveries 
shall not exceed ± 10 percent of the true 
value. 

(E) All compliance samples analyzed by 
graphite furnace shall be spiked to deter- 
mine absence of matrix interferences with 



(F) 



recoveries + 10 percent of the true value 
of the spike concentration. 
The laboratory shall run a duplicate sam- 
ple every 10 samples with duplicate values 
within ± 10 percent of each other. 
(G) Precision and accuracy data may be com- 
puted from the analyses of check samples 
of known value used routinely in each 
analytical procedure. This data shall be 
available for inspection by the laboratory 
evaluator. 
(2) Organic Contaminants: 

(A) Quality control specified in the approved 
methods referenced in Rule .0241 of this 
Section shall be followed. 

(B) Analysis for regulated volatile organic 
chemicals under 15A NCAC 18C .1515 
shall only be conducted by laboratories 
that have received conditional approval by 
EPA or the Department according to 40 
C.F.R. 141.24(g)(10) and (11) which is 
hereby incorporated by reference includ- 
ing any subsequent amendments and edi- 
tions. A copy is available for inspection 
at the Department of Environment, 
Health, and Natural Resources, Division 
of Laboratory Services, 306 North 
Wilmington Street, Raleigh, North Caro- 
lina. Copies of 40 C.F.R. 141-143 may 
be obtained by contacting the EPA Drink- 
ing Water Hotline at 800-426-4791 at no 
charge. 

(C) Analysis for unregulated volatile organic 
chemicals under 15A NCAC 18C .1516 
shall only be conducted by laboratories 
approved under Part (c)(2)(B) of this 
Rule. In addition to the requirements of 
Part (c)(2)(B) of this Rule, each labora- 
tory analyzing for EDB and DBCP shall 
achieve a method detection limit for EDB 
of 0.00001 mg/1 and DBCP of 0.0002 



0.00002 mg/1, according to the procedures 
in Appendix B of 40 C.F.R. Part 136 
which is hereby incorporated by reference 
including any subsequent amendments anc 
editions. A copy may be obtained at nc 
charge by contacting the Department o 
Environment, Health, and Natural Re 
sources. Division of Laboratory Services 
306 North Wilmington Street, Raleigh 
North Carolina. 
(D) The laboratory shall achieve the methoc 
detection limits as listed in 40 CFF 
141 .24(f)( 18) according to the procedure: 
in Appendix B of 40 CFR Part 136 whicl 
is hereby incorporated by reference in 
eluding any subsequent amendments an< 



210 



NORTH CAROLINA REGISTER 



May 15, 1996 



11: 



APPROVED RULES 



editions. A copy may be obtained at no 
charge by contacting the Department of 
Environment, Health, and Natural Re- 
sources, Division of Laboratory Services, 
306 North Wilmington Street, Raleigh, 
North Carolina. 

History Note: Authority G.S. 130A-315; 

Eff. December 1, 1991; 

Amended Eff. August L 1996; January 1, 1996; October 1, 

1994; April 1, 1993. 



TITLE 17 - DEPARTMENT OF REVENUE 

CHAPTER 6 - INDIVIDUAL INCOME TAX 
DIVISION 

SUBCHAPTER 6B - INDIVIDUAL INCOME TAX 

SECTION .0600 - TAX CREDITS 

.0612 TAX CREDIT FOR QUALIFIED 
BUSINESS INVESTMENTS 

(a) — A tax credit io allowed to individuals who make 
qualified invoatmonta during taxable yoara beginning on or 
after January 1, 19 88 , in e quity s e curiti e s or oubordinat e d 
debt of a qualified inv e stment organization, a qualifi e d 
buainoas venture, a qualified grantee business, or a North 
Carolina — Enterprise — Corporation, — including a — limited 
partn e rship in whioh a North Carolina Ent e rpris e Corpora 
tion is th e only g e n e ral partn e r. — Th e s e organizations ar e 
defined in G.S. 105 163.010 and are required to register 
with the Secretary of State. 

{&) — Th e cr e dit is tw e nty fiv e p e ro e nt of th e amount 
inv e st e d or on e hundr e d thousand dollars ($100,000), 
whichovor is loss. To bo eligible for the crodit a taxpay e r 
must file an application (Form D 4 99) for the credit with 
th e S e oretary of Revenu e on or b e fore April 15 of th e y e ar 
following th e cal e ndar year in whioh th e investm e nt was 
made. With respect to the application requirements 
provided in G.S. 105-163.01 1(c), the The date set for 
filing the application may be extended provided a written 
statement is furnished by April 15 requesting that addi- 
tional time to file the application be allowed. An extension 
of time to file the individual income tax return. Form 
D-400, do e s shall not extend the time for filing Form 
D-499. Th e cr e dit i s allowabl e for th e taxabl e y e ar 



beginning during the calendar year following 



year in which the investment wa s made and any unused 
orodit oon b e oarri e d forward for th e n e xt suooooding five 

(e) — An investment by a partner s hip entity in one or 



entitled to a credit for investm e nt s in a partnership if the 
partn e rship — is a qualifying organization — id e ntifi e d — in 
Paragraph (a) of this Rul e , inoluding a limited partnership 
in which a North Carolina Enterprise Corporation is the 
only general partner. 

(d) A corporation that inv e sts in th e e quity s e curiti e s of 
a North Carolina Ent e rpris e Corporation or a qualified 
investment organization is allowed a crodit of twenty five 
percent of the amount invested or seven hundred fifty 
thousand dollars ($750,000), whichever is l e ss. — With 
r e sp e ct to an S corporation, e aoh shar e hold e r is allow e d as 
a credit against his individual income tax a n amount equal 
to his pro rata share of the tax credit s for which the S 
corporation is e ligibl e . — An S corporation's investment in 
a qualifi e d busin e ss v e ntur e or a qualifi e d grant ee busin e ss 
does not qualify for the tax crodit at the corporate level and 
shar e holders aro not entitled to a tax crodit for tho S 
corporation' s inv es tm e nt; how e v e r, individual shar e hold e rs 
ar e e nt i tl e d to a or e dit for th e ir inv es tm e nt s in an S 
corporation which invosts in a North Carolina Enterprise 
corporation or a qualified inve s tment organization. 

(o) Exc e pt for th e tax cr e dits list e d in Rul e ,37M(a) of 
this Subchapter, an estate or trust is e ntitl e d to th e sam e 
tax credit s allowed an individual; thoroforo, an estate or 
trust is ontitlod to a tax crodit for an inve s tment in a 
qual i fi e d organization id e ntifi e d in Paragraph (a) of thi s 
Rul o, 

Tho provisions in Paragraphs (a) through (e) of this Rule 
are applicable to qualified busine s s investm e nt s made prior 
to January 1, 1991. 

History Note: Authority G.S. 105-131. 8(b); 105-163.010; 

105-163.011; 105-163.012; 105-163.013; 105-163.14; 

105-262; 

Eff. September 1, 1992; 

Amended Eff. July_ L 1996; May 1, 1994. 

SECTION .3700 - ESTATES AND TRUSTS 

.3716 FNCOME TAX RETURN FOR ESTATES 
AND TRUSTS 

(a) The federal taxable income of the fiduciary is shall 
be the starting point for preparing a North Carolina 
Fiduciary Return, Income Tax Return for Estates and 
Trusts, Form D-407. Form D 4 07 and requires tho same 
additions, — d e ductions, — and — transitional — adjustm e nts — Se 
f e d e ral taxable incom e as required for individuals. 

(b) The fiduciary responsible for admini s tering the 
th o ca le nda r e s tate or trust i s responsible for filing the fiduciary return 

and paying th e tax. The fiduciary must shall file an 
income tax return for the estate or trust for which he acts 
if he is required to file a federal fiduciary income tax 
return U.S. Income Tax Return for Estates and Trusts and; 



moro of tho organizations described in Paragraph (a) of thi s 
Rule doos not qualify' for th e tax or e dit at th e partn e rship 
l e v e l and individual partners ar e not e ntitl e d to a tax or e dit 
for tho partnership's investment. — Individual partners are 



(1) the estate or trust derives income from North 
Carolina sources; or 

(2) the estate or trust derives any income which is 
for the benefit of a resident of North Carolina. 



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211 



APPROVED RULES 



fe) — For estates and trusto located outside of North 
Carolina, a fiduoiary muot file a North Carolina fiduoiary 
incom e tax r e turn for tho estat e or truot if h e in r e quir e d to 
filo a fodoral fiduciary incomo tax return and tho estate or 
trust derives income from: 

fl-) North Carolina oouro e o that io attributabl e to th e 

ownership of any intoroot in r e al or tangible 
personal property located in North Carolina, or; 

(3^ a business, — trade, — profession, — or occupation 

carried on in North Carolina. 
(c) (4) Fiduciaries shall be consistent in the use of the 
name and address of an estate or trust on a return. If a 
different name for an estate or trust is used in any year 
from that used in the prior yew year, that fact shall be 
noted on the first page of the return and the name used in 
the prior year indicated. Tho use of numbers assigned by 
banks to ostntcs and trusto are also helpful in tho processing 
of truot return s after th e y ar e fil e d. 

History Note: Authority G.S. 105-160.5; 105-160.6; 

105-262; 

Eff. February 1. 1976; 

Amended Eff. J_uly_ L 1996; June 1. 1993; October 1, 

1991; June 1, 1990; April 12, 1981. 

CHAPTER 7 - SALES AND USE TAX 

SUBCHAPTER 7B - STATE SALES AND USE TAX 

SECTION .1100 - SALES OF BULK 

TOBACCO BARNS: FARM MACHINES 

AND MACHINERY 



.1101 FARM MACHINES: MACHINERY: 
BULK TOBACCO BARNS 

(a) Sales to farmers of machines and machinery, and 
parts therefor or accessories thereto for use by them in 
planting, cultivating, harvesting or curing of farm crops 
including nursery or greenhouse stock and products of the 
forest , or to dairy operators, poultry farmers, egg produc- 
ers, and commercial producers of animals livestock 
farmers for us e by th e m in th e production of dairy prod 
ucts. poultry products, e ggo, or liv e otook are subject to the 
one percent rate of tax with a maximum tax of eighty 
dollars ($80.00) per article of merchandise. Sales of 
machines and machinery, and the parts therefor or accesso- 
ries thereto, to farmers for any purpose or use not defined 
in this Rule, or to any person other than a farmer as herein 
defined, even though for a use or purpose herein defined, 
are subject to the four percent state and any applicable 
local sales or use tax without limitation. In other words, 
to qualify for the one percent rate of tax and the eighty 
dollar ($80.00) maximum tax per article, the transaction 
must be a sale of a machine or machinery, or parts 
therefor or accessories thereto, to a farmer for one of the 
uses or purposes herein defined and unless all three 
conditions are met, the sale is subject to the four percent 



(2) 

(3) 

(4) 



state and any applicable local sales or use tax without limit. 
The sale to farmers of a bulk curing bam with perforated 
floors, curers, racks, fans, motors, dampers and flues will 
constitute constitutes the sale of one article and an eighty 
dollar ($80.00) maximum tax will bo is applicable thereto. 
Part I of the Farmer's Certificate, Form E-599, may be 
completed by a fanner or producer and accepted by a 
vendor as the authority for applying the one percent rate of 
tax, maximum eighty dollars ($80.00) per article, on sales, 
leases or rentals of the following: 

(1) Farm machinery and parts and accessories 
thereto for use in planting, cultivating, harvest- 
ing or curing farm crops, including nursery or 
greenhouse stock and products of the forest, or 
for use in the production of dairy products, 
poultry, eggs, livestock or fish: livestock, fish or 
aquatic plants. 

Bulk tobacco barns and racks and all parts and 
accessories thereto and similar apparatus used for 
curing and drying farm produce. 
Grain, feed or soybean storage facilities and 
accessories thereto. 

Containers for use in the planting, producing, 
harvesting, curing, marketing, packaging, sale, 
or transporting or delivery of products when 
such containers do not go with and become a 
part of the sale of products. 
Part II of a Farmer's Certificate may be completed by a 
farmer or producer and accepted by a vendor as the 
authority for exempting from sales or use tax the follow- 
ing: 

(5) Wrapping paper, labels, wrapping twine, paper, 
cloth, plastic bags, cartons, packages and con- 
tainers, wooden boxes, baskets, coops, barrels, 
and like articles sold to farmers and producers 
when such materials are used for packaging, 
shipment or delivery of tangible personal prop- 
erty which is sold either at wholesale or retail 
and when such articles constitute a part of the 
sale of such tangible personal property and are 
delivered with it to the customer. 
When a customer makes a purchase and executes Part I 
or Part II of a Farmer's Certificate which is then furnished 
to the vendor, the vendor is relieved of the liability for any 
additional tax that is subsequently determined to be due and 
the purchaser has assumed liability for the tax-. — This is not 
th e oao e tax if the vendor do e s not hav e has a properly 
executed Form E-599 on file. In the absence of the 
certificate, the vendor can bo held may be liable for any 
additional tax determined to be due on a transaction. 

(b) The following are examples of sales of machines and 
machinery and the parts therefor and accessories thereto, 
which qualify for the one percent rate of tax with the 
eighty dollars ($80.00) maximum when sold to gonoral 



farmers for use by them in planting, cultivating, harvesting 
or curing farm crops: 
(1) tractors. 



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APPROVED RULES 



plows, 

harrows, 

cultivators, 

mowers, 

planters, 

corn pickers and snappers, 

manure spreaders, 

manure loaders, 

harvester threshers, 

rotary tillers, 

fertilizer distributors, 

wind-rowers, 

forage blowers, 

stalk cutters, 

seeders, 

grain loaders, 

harvesters, 

cotton pickers, 

rotary hoes, 

corn and hay elevators, 

tobacco curers, 

tobacco flues, 

tobacco trucks or slides, 

wagons, 

non-highway trailers, 

mechanical rakes, 

balers, 

rod weeders. 

combines, 

tobacco transplanters, 

shredders for corn stalks, 

power loader lifts, 

platform carriers, 

portable insecticide sprayers, 

chain saws, 

motor oils, greases, lubricants and anti-freeze; 

hydraulic fluids. 

(c) Examples of items which are subject to the four 
percent state and any applicable local sales or use tax when 
sold to farmers for general purposes: 

(1) lawn mowers; 
snow plows; 

oil storage tanks and fittings; 
drainage tile; 

paint, cleaning compounds and brushes; 
baler twine; 

tobacco sticks and tobacco twine; 
tools for maintaining machinery and equipment; 
plastic mulch, plant bed covers and tobacco 
canvas. 

(d) The lists in Paragraphs (b) and (c) of this Rule are 
not intended to be exclusive, but are for illustrative 
purposes only. If there is any question whatever as to the 
tax status of any item which does not appear therein, such 
question shall be submitted to the secretary, together with 
a detailed statement of the business of the purchaser, the 
design and structure of the article, and its use, to the end 



(2. 
(3 
(4 
(5 
(6 
(7 
(8 
(9 
(10 

(11 
(12 
(13 
(14 
(15 
(16 
(17 
(18 
(19 
(20 
(21 
(22 
(23 
(24 
(25 
(26 
(27 
(28 
(29 
(30 
(31 
(32 
(33 
(34 
(35 
(36 
(37 
(38 



(2) 
(3) 
(4) 
(5) 
(6) 
(7) 
(8) 
(9) 



that the applicable rate of tax may be correctly determined. 
(e) The word farmer as used in this Rule includes crop 
farmers, dairy operators, poultry farmers, egg producers, 
livestock farmers, nurserymen, greenhouse operators, 
farmers who raise fish or water plants, orchardmen and 
other persons coming within the generally accepted 
definition of the word. It does not include a person who 
merely cultivates a garden for personal use. 

History Note: Authority G.S. 105-164.4; 105-164.6; 

105-262; 

Eff. February 1, 1976; 

Amended Eff. August £, 1996; April 1, 1995; July 1, 1994; 

October 1, 1993. 

.1123 CERTAIN SALES TO COMMERCIAL 
ANIMAL FARMERS 

For the purpose of this Rule, the word "animal" means 
words "owin e , liv e stock and poultry" inolud e swine, cattle, 
horses, mules, sheep, chickens, turkeys and other similar 
domestic animals and animals, fowl and fish u s ually held 
or produced on a far m for commercial purposes. The 
word "commercial" shall mean "h e ld or produo e d "pro- 
duced for income or profit." It does not include one who 
merely produces animals s wino. livestock or poultry for 
one's personal use or consumption and not for sale. 
Commercial animal owin e , liv e stook or poultry farmers, 
and contractors performing contracts with commercial 
animal s win o , livestock or poultry farmers and subcontrac- 
tors performing contracts with general contractors who 
contract with commercial animal s win e , — liv es took — er 
poultry farmers may obtain Commercial Animal Swin e . 
Livestock and Poultry Farmers' Certificate, Form E-599S, 
from the Office Services Division, Taxpayer Assistance 
Section, North Carolina Department of Revenue, to be 
executed by them and furnished to their vendors in connec- 
tion with such purchases as the vendor's authority to 
exempt such purchases from sales and use taxes. If a 
Form E-599S is properly executed, a vendor is relieved of 
liability for any additional tax found to be due with 
reference to any sales on which the vendor relied on the 
certificate and did not charge sales tax. By executing the 
certificate, the purchaser assumes liability for any sales tax 
subsequently determined to be due. The vendor is not 
protected in this manner without the certificate. Vendors 
that do not choose to use the Commercial Animal Swin e . 
Liv e stook and Pou l try Farmers' Certificate must shall 
maintain other written evidence adequate to support the 
conclusion that such sales are exempt from tax in accor- 
dance with the provisions of G.S. 105-164. 13(4c). 

History Note: Authority G.S. 105-164.4; 105-164.6; 105- 

164. 13; 105-262; 

Eff. February 1, 1976; 

Amended Eff. August L, 1996; May 1, 1995; October 1, 

1993; June 1, 1992. 



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213 



APPROVED RULES 



SECTION .1600 - SALES TO OR BY HOSPITALS: 

EDUCATIONAL: CHARITABLE OR RELIGIOUS 

INSTITUTIONS: ETC.: AND REFUNDS THERETO 

.1602 REFUNDS TO NONPROFIT ENTITIES 
AND MEDICINES AND DRUGS 
PURCHASED BY HOSPITALS 

(a) The refund provisions contained in this Rule do not 
apply to the tax on taxable sales by the nonprofit entities 
inotitutiono and organization!] named in G.S. 105-164. 14(b) 
and no part thereof shall be refunded or claimed as a 
refund. Nonprofit entities Institutions and organizations 
properly registered for sales and use tax purposes may 
purchase the tangible personal property which they resell 
without paying tax thereon to their suppliers provided they 
have furnished such suppliers with properly executed 
Certificates of Resale, Form E-590. Certificates of resale 
may not be used by any nonprofit entity institution or 
organization in making purchases of tangible personal 
property to be used or consumed by such purchaser. 

(b) All refund claims must shall be substantiated by 
proper documentary proof and only the taxes actually paid 
by the claimant during the period for which the claim for 
refund is filed may be included in the claim. Any local 
sales or use taxes included in the claim must shall be 
separately stated in the claim for refund. In cases where 
more than one county's tax has been paid, a breakdown 
must shall be attached to the claim showing the amount of 
each county's local tax separately. 

(c) As to taxes paid on the claimant's purchases for use, 
other than those made by contractors performing work for 
the claimant, invoices or copies of invoices showing the 
property purchased, the cost thereof, the date of purchase 
and the amount of state and local sales or use tax paid 
during the refund period will constitute proper documen- 
tary proof. 

(d) To substantiate a refund claim for sales or use taxes 
paid on purchases of building materials, supplies, fixtures 
and equipment by its contractor, the claimant must shall 
secure from such contractor certified statements setting 
forth the cost of the property purchased from each vendor 
and the amount of state and local sales or use taxes paid 
thereon. In the event the contractor makes several pur- 
chases from the same vendor, such certified statement must 
shall indicate the invoice numbers, the inclusive dates of 
the invoices, the total amount of the invoices and the sales 
and use taxes paid thereon. Such statement mu s t shall also 
include the cost of any tangible personal property with- 
drawn from the contractor's warehouse stock and the 
amount of state and local sales or use tax paid thereon by 
the contractor. Similar certified statements by his subcon- 
tractors mu s t shall be obtained by the general contractor 
and furnished to the claimant. Any local sales or use taxes 
included in the contractor's statements must shall be shown 
separately from the state sales or use taxes. The contrac- 
tor's statements mu s t shall not contain sales or use taxes 
paid on purchases of tangible personal property by such 



contractors for use in performing the contract which does 
not annex to, affix to or in some manner become a part of 
the building or structure being erected, altered or repaired 
which is owned or leased by a nonprofit entity for use by 
a nonprofit entity for the institutions and organization s 
named in G.S. 105 161. H(b). G.S. 105-164. 14(b) for 
carryin g on its nonprofit activities. Examples of property 
on which sales or use tax has been paid by the contractor 
and which shall not be included in the contractor's state- 
ment are scaffolding, forms for concrete, fuel for the 
operation of machinery and equipment, tools, equipment 
repair parts, equipment rentals and blueprints. 

(e) The refund provisions set forth in this Rule apply 
only to the nonprofit entities institutions and organizations 
described in G.S. 105-164. 14(b), but do not apply to 
nonprofit fraternal, civic or patriotic organizations, not- 
withstanding that such organizations may perform certain 
charitable functions. The refund provisions set forth in this 
Rule do not apply to nonprofit entities organizations, 
corporations and institutions which are owned and con- 
trolled by the United States, the state or a unit of local 
government except hospital faciliti e s hospitals and medical 



accommodations created under the Hospital Authorities 



Law, Article +3 2 of Chapter +34 13 1 E of the General 
Statutes and nonprofit hospitals owned and controlled by a 
unit of local government that elect to receive semiannual 
refunds under G.S. 105-164. 14(b) instead of annual 
refunds under G.S. 105-164. 14(c). Any nonprofit hospital 
owned and controlled by a unit of local government may 
submit a written request to receive semiannual refunds 
under G.S. 105-164. 14(b) instead of annual refunds under 
G.S. 105-164. 14(c). The request is shall be effective 
beginning with the six-months refund period following the 
date of the request and applies to sales or use taxes paid on 
or after the first day of the refund period for which the 
request is effective. 

(0 The refund provisions of this Rule are not applicable 
to sales taxes incurred by employees on purchases of food, 
lodging or other taxable travel expenses paid by employees 
and reimbursed by the type of nonprofit entities instituti i 
and organizations named in G.S. 105-164. 14(b). Such 
expenses are personal to the employee since the contract 
for food, shelter and travel is between the employee and 
the provider and payment of the tax is by the employee 
individually and personally. Such nonprofit entities 



institutions and organizations have not incurred and hav 
not paid any sales tax liability. In such cases, it has 
chosen to reimburse a personal expense of the employee. 
The refund provisions of this Rule do not apply to sales tax 
paid by the nonprofit entities organizations and institution ! 



named in G.S. 105-164. 14(b) on charges by a utility fo 
electricity, piped natural gas and local, toll or private 
telecommunications services; to the occupancy taxes leviet 
and administered by certain counties and cities in this state 
to the prepared food and beverage taxes levied by variou 
local governments in North Carolina; to the highway us< 
taxes paid on the purchase, lease or rental of moto 



214 



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May 15, 1996 



11: 



APPROVED RULES 



vehicles; to the scrap tire disposal tax levied on new motor 
vehicle tires; or to the white goods disposal tax levied on 
new white goods. Such taxes shall not be included in any 
claim for refund filed by such nonprofit entities, institu 
t i ono and organizations. 

History Note: Authority G.S. 105-164.14; 105-262; 

105-264; 

Eff. February 1, 1976; 

Amended Eff. August L 122& October 1, 1993; September 

1, 1993; March 1, 1993. 

SECTION .1700 - SALES TO OR BY THE STATE: 

COUNTIES: CITIES: AND OTHER POLITICAL 

SUBDIVISIONS 

.1701 GOVERNMENTAL SALES AND 
PURCHASES 

(a) Sales to the State of North Carolina, counties, cities 
and political subdivisions or agencies thereof, except sales 
to the Department of Transportation, of: 

(1) tangible personal property not specifically ex- 
empt by statute for the purpose of use or con- 
sumption are subject to the four percent state tax 
and any applicable local sales or use tax; 

(2) piped natural gas, electricity and local telecom- 
munications services are subject to the three 
percent state tax; and 

(3) the gross receipts derived from intrastate toll and 
private telephone services are subject to the six 
and one-half percent state tax. 

The exemption for the Department of Transportation does 
not extend to sales of tangible personal property to contrac- 
tors for use in the performance of contracts with the 
Department of Transportation nor to sales of tangible 
personal property to other state agencies, local govern- 
ments or employees of the Department of Transportation. 
Sales of building materials, supplies, fixtures and equip- 
ment to contractors for use in the performance of contracts 
with the federal government or any above referred to 
governmental units or agencies are also subject to the sales 
or use tax. 

(b) When the State of North Carolina, counties, cities, 
towns, and political subdivisions or any agencies thereof 
hereof, with the exception of the Department of Transpor- 
ation. make taxable purchases of tangible personal prop- 
5rty from a North Carolina supplier or registered 
sut-of-state supplier who charges the North Carolina and 
iny applicable local sales or use tax thereon, such govern- 
nental unit or agency must shall remit the tax on such 
nirchases to the supplier. Any such governmental unit or 

gency making taxable purchases of tangible personal 
Jroperty from an out-of-state supplier who does not collect 
he North Carolina and any applicable local sales or use tax 
hereon io required to shall register with the department 
ind remit monthly the tax due on such purchases. Any 
governmental unit or agency so required to register which 



does not owe any tax for a given month shall file a report 
reflecting no tax due. 

(c) If any governmental unit or agency referred to in 
Paragraph (b) of this Rule makes taxable retail sales of 
tangible personal property, it must shall register with the 
department and collect and remit the tax due on such sales. 
The refund provisions contained in G.S. 105-164. 14(c) do 
not apply to the tax on such sales and no part thereof shall 
be refunded or claimed as a refund. Governmental units 
and agencies prop e rly registered for sales and use tax 
purposes may purchase the tangible personal property 
which they resell without paying tax thereon to their 
suppliers provided they have furnished such suppliers with 
properly executed Certificates of Resale, Form E-590. 
Certificates of resale may shall not be used by any govern- 
mental unit or agency herein referred to, or by any other 
vendee, in making purchases of tangible personal property 
to be used or consumed by such purchaser. 

History Note: Authority G.S. 105-164.4; 105-164.6; 105- 

164. 13; 105-164. 14; 105-262; 

Eff. February 1, 1976; 

Amended Eff. August ]_, 1996 ; October 1, 1993; October 1, 

1991; May 1, 1990. 

.1702 REFUNDS TO COUNTIES: CITDZS: ETC. 

(a) Governmental entities, as defined by G.S. 
105-164. 14(c), are entitled to an annual refund of sales 
and/or and use taxes paid by them on their direct purchases 
of tangible personal property, subject to the terms and 
conditions hereafter set forth. The refund provisions of 
this Rule are not applicable to sales taxes incurred by 
employees on purchases of food, lodgings or other taxable 
travel expenses paid by employees and reimbursed by 
governmental entities. Such expenses are personal to the 
employee since the contract for food, shelter and travel is 
between the employee and the provider and payment of the 
tax is by the employee individually and personally. The 
governmental entity has not paid any sales tax liability. In 
such cases, it has chosen to reimburse a personal expense 
to the employee. The refund provisions of this Rule do not 
apply to sales taxes paid by the governmental entities 
organizations and institutions named in G.S. 105-164. 14(c) 
on charges by a utility for electricity, piped natural gas and 
local, toll or private telecommunications services; to the 
occupancy taxes levied and administered by c e rtain coun- 
ties and cities in this state; to the prepared food and 
beverage taxes levied by various local governments in 
North Carolina; to the highway use taxes paid on the 
purchase, lease or rental of motor vehicles; to the scrap 
tire disposal tax levied on new motor vehicle tires; or to 
the white goods disposal tax levied on new white goods. 
Governmental entities, as defined, and the Federal Govern- 
ment are entitled to annual refunds of sales and/or and use 
taxes paid in North Carolina by their contractors on 
purchases of building materials, supplies, fixtures and 
equipment which become a part of or are annexed to any 



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215 



APPROVED RULES 



building or structure being erected, altered or repaired 
under contract with such governmental entities which is 
owned or leased by such governmental ontiti e o. entities for 
their use. 

(b) Nonprofit hospitals owned and controlled by a unit 
of local government may file claims for refund of sales and 
use taxes on a semiannual basis under the provisions of 
G.S. 105-164. 14(b) rather than file annually as a part of 
the local government. In order to file semiannually, the 
hospital must shall submit a written request to the Secretary 
of Revenue and the request w+14 shall be effective begin- 
ning with the six-month refund period following the date of 
the request and applies to sales and use taxes paid on or 
after the first day of the refund period for which the 
request is effective. 

(c) fb} All refund claims must be substantiated by 
proper documentary proof and only those taxes actually 
paid by the claimant during the fiscal year covered by the 
refund claim may be included in the claim. Any local 
sales or use taxes included in the claim must be separately 
stated in the claim for refund. In cases where more than 
one county's sales and use tax has been paid, a breakdown 
must be attached to the claim for refund showing the 
amount of each county's local tax separately. 

(d) fe> As to taxes paid by governmental entities on 
purchases for use. other than those made by contractors 
performing work for the claimant, invoices or copies of 
invoices showing the property purchased, the cost thereof, 
the date of purchase, the amount of state and local sales or 
use tax paid thereon and a record reflecting the date of 
payment will constitute proper documentary proof. 

(e) fd) To substantiate a refund claim for sales or use 
taxes paid on purchases of building materials, supplies, 
fixtures, and equipment by its contractor, the claimant muot 
shall secure from such contractor certified statements 
setting forth the cost of the property purchased from each 
vendor and the amount of state and local sales or use taxes 
paid thereon. In the event the contractor makes several 
purchases from the same vendor, such certified statement 
must shall indicate the invoice numbers, the inclusive dates 
of the invoices, the total amount of the invoices, and the 
state and local sales and use taxes paid thereon. Such 
statement must shall also include the cost of any tangible 
personal property withdrawn from the contractor's ware- 
house stock and the amount of state and local sales or use 
tax paid thereon by the contractor. Similar certified 
statements by his subcontractors must shall be obtained by 
the general contractor and furnished to the claimant. Any 
local sales or use taxes included in the contractor's state- 
ments must shall be shown separately from the state sales 
or use taxes. The contractor's statements mu s t shall not 
contain sales or use taxes paid on purchases of tangible 
personal property purchased by such contractors for use in 
performing the contract which does not annex to, affix to 
or in some manner become a part of the building or 
structure being erected, altered or repaired that is owned 
or leased by a governmental entity for use by the govern- 



mental entity entities as defined by G.S. 105-164. 14(c). 
Examples of property on which sales or use tax has been 
paid by the contractor and which shall not be included in 
the contractor's statement are scaffolding, forms for 
concrete, fuel for the operation of machinery and equip- 
ment, tools, equipment repair parts, equipment rentals and 
blueprints. 

History Note: Authority G.S. 105-164.14; 105-262; 
Eff. February 1, 1996; 

Amended Eff. August L 1996; October 1, 1993; October 1, 
1991; May 1, 1990. 

SECTION .1800 - HOSPITALS AND SANITARIUMS 

.1802 REFUNDS TO HOSPITALS: ETC. 

(a) Hospitals, sanitariums, religious institutions and 
organizations, charitable nursing homes, and charitable rest 
homes not operated for profit are entitled to semiannual 
refunds of sales and^or and use taxes paid by them on their 
direct purchases of tangible personal property, including 
medicines and drugs, for use in carrying on their work. 
For the purpose of the refund, sales or use taxes paid by 
contractors on their purchases of building materials, 
supplies, fixtures and equipment which become a part of or 
are annexed to a building or structure being erected, 
altered or repaired under contract with such hospitals, 
sanitariums, charitable nursing homes and charitable rest 
homes that is owned or leased by such institutions and used 
for us e in carrying on their nonprofit activities are deemed 
to be taxes paid on direct purchases. 

(b) As to taxes paid on purchases for use other than 
those made by contractors performing work for the 
claimant, invoices or copies of invoices showing the 
property purchased, the cost thereof, the date of purchase 
and the amount of sales or use tax paid thereon during the 
refund period will constitute proper documentary proof. 
To substantiate a refund claim for sales or use taxes paid 
on purchases of building materials, supplies, fixtures and 
equipment by its contractor, the claimant must shall secure 
from such contractor certified statements setting forth the 
cost of the property purchased from each vendor and the 
amount of sales and use taxes paid thereon. In the event 
the contractor makes several purchases from the same 
vendor, the certified statements may indicate the invoice 
numbers, the inclusive dates of the invoices, the total 
amount of the invoices and the sales or use taxes paid 
thereon in lieu of an itemized listing of each separate 
invoice. The statements must shall also include the cost of 
any tangible personal property withdrawn from the contrac 
tor's warehouse stock and the amount of sales or use tax 
paid thereon by the contractor. Similar certified statements 
by his subcontractors must shall be obtained by the general 
contractor and furnished to the claimant. 

(c) Sales and/or and use taxes paid by hospitals 
sanitariums, charitable nursing homes and charitable rest 
homes which are agencies of counties and incorporated 



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11 



4 



APPROVED RULES 



cities and towns on their direct purchases of tangible 
personal property, including medicines and drugs, and by 
their contractors on purchases of building materials, 
supplies, fixtures and equipment becoming a part of or 
annexing to a building or structure being erected, altered 
or repaired under contract with such institutions that is 
owned or leased by such institutions for their own use are 
also refundable; however, such refund must shall be 
included in the claim filed by the county or incorporated 
city or town which is to be filed within six months after the 
close of the claimant's fiscal year. The documentary proof 
as explained in Paragraph (b) of this Rule shall be submit- 
ted to the county or incorporated city or town filing the 
claim. The refund provisions are not applicable to hospi- 
tals, sanitariums, charitable nursing homes and charitable 
rest homes which are agencies of the state or any political 
subdivisions thereof other than counties and incorporated 
cities and towns. Nonprofit hospitals owned and controlled 
by a unit of local government may file for a refund on a 
semiannual basis under G.S. 105-164. 14(b) rather than file 
annually as a part of the local government unit. In order 
to file semiannually, the institution muot shall submit a 
written request to do so to the Secretary of Revenue and 
the request is effective beginning with the six-months 
refund period following the date of the request and applies 
to sales and use tax paid on or after the first day of the 
refund period for which the request is effective. 

(d) The refund provisions set forth in Paragraphs (a), 
(b) and (c) of this Rule are not applicable to taxes paid by 
hospitals, sanitariums, religious institutions and organiza- 
tions, charitable nursing homes and charitable rest homes 
on their taxable sales and these taxes shall not be refunded 
or claimed as a refund. The refund provisions are not 
applicable to sales tax incurred by employees on purchases 
of food, lodgings or other taxable travel expenses paid by 
employees and reimbursed by the institution. Such 
expenses are personal to the employee since the contract 
for food, shelter and travel is between the employee and 
the provider and payment of the tax is by the employee 
individually and personally and such tax shall not be 
refunded under the provisions of this Rule. The institution 
has incurred and paid no sales tax liability. In such cases, 
it has chosen to reimburse a personal expense of the 
employee. 

(e) The refund provisions set forth in Paragraphs (a), 
(b) and (c) of this Rule are not applicable to sales taxes 
paid by hospitals, sanitariums, charitable nursing homes 
and charitable rest homes on charges by a utility for 
electricity, piped natural gas and local, toll or private 
telecommunications services; to the occupancy taxes levied 
and administered by certain counties and cities in this state; 
to the prepared food and beverage taxes levied by various 
local governments in North Carolina; to the highway use 
taxes paid on the purchase, lease or rental of motor 
vehicles; to the scrap tire disposal tax levied on new motor 
vehicle tires; or to the white goods disposal tax levied on 
white goods. 



History Note: Authority G.S. 105-164.14; 105-262; 

105-264; 

Eff. February 1, 1996; 

Amended Eff. August 7, 1996; October 1, 1993; October 1, 

1991; May 1, 1990. 

SECTION .2400 - VETERINARIANS 

.2401 SALES TO VETERINARIANS 

(a) Veterinarians are engaged in rendering professional 
services and are the users or consumers of medicines or 
drugs and other tangible personal property which they 
purchase for use in administering treatment to animals. 
Purchases by veterinarians of medicines or drugs for use 
in the treatment of pets, such as birds, dogs and cats, are 
subject to the four percent state tax and any applicable 
local sales or use tax notwithstanding such medicines and 
drugs may be of the type usually sold on the prescription 
of a veterinarian. Veterinarians shall remit the tax due on 
such purchases to their suppliers who collect and remit 
North Carolina sales and/or and use taxes. When such 
purchases are made from out-of-state suppliers who do not 
collect and remit the applicable sales or use tax, the 
veterinarians aro liablo for remitting shall remit the use tax 
due thereon directly to the North Carolina Department of 
Revenue. Purchases and sales by veterinarians of medi- 
cines and drugs for use in the treatment of animals, 
livestock and poultry, including cattle, horses, mules, 
sheep, chickens, turkeys and other domestic animals 
usually found on a farm, and other animals or poultry held 
or produced for commercial purposes are exempt from 
sales or use tax. 

fb) Veterinarians who make purchases of medicines or 
drugs for use in the treatment of animals liv e stook, poultry 
and pets, and by reason of the multiple uses to be made of 
the medicines or drugs cannot determine the application of 
tax thereto until they are used may, in connection with 
such purchases, furnish Veterinarian's Certificate, Form 
E-567, to their vendors and assume liability for payment of 
the applicable tax to the Secretary of Revenue on that 
portion which is used in the treatment of pets. Veterinari- 
ans making purchases pursuant to a Veterinarian's Certifi- 
cate, Form E-567, muot shall register with the Department 
for the purpose of remitting the use tax due on that portion 
of such medicines and drugs used in treating pets. The 
certificate must shall be prepared in duplicate and copies 
retained by the veterinarian and the vendor as a part of 
their permanent records. Vendors that do not choose to 
use the Veterinarian's Certificate, Form E-567, shall 
maintain other evidence in writing adequate to support the 
conclusion that such sales are exempt from tax in accor- 
dance with the provisions of G.S. 105-164.13(2). 

(c) Sales to veterinarians of medical supplies, including 
such items as cotton, gauze, adhesive tape, bandages and 
other dressings and medical instruments and equipment, 
such as knives, needles, scissors, microscopes, x-ray 
machines and other laboratory equipment used for testing 



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APPROVED RULES 



and diagnosis, and for the prevention, treatment or cure of 
diseases in animals are subject to the four percent state tax 
and any applicable local sales or use tax. 

History Note: Authority G.S. 105-164.4; 105-164.6; 105- 

164.13; 105-262; 

Eff. February 1, 1976; 

Amended Eff August i, 1996; April 1, 1995; October 1, 

1993; October 1, 1991. 

SECTION .4000 - FERTILIZER: SEEDS: FEED 
AND INSECTICIDES 

.4008 BREAD USED FOR FEED 

Bulk sales of bread for use as feed for animals held or 
produced for c ommercial purposes livoetook and poultry 
are exempt from tax. Bakeries or stores making such sales 
must shall show on the sales invoices that the bread is 
being sold as feed and muot shall reflect the name and 
address of the purchaser. If records are not kept support- 
ing sales of this type, such sales will be considered taxable. 

History Note: Authority G.S. 105-164.13; 105-262; 
Eff. February 1, 1976; 
Amended Eff. August 1. 1996. 

SECTION .4300 - REFUNDS TO INTERSTATE 
CARRIERS 

.4301 REFUNDS TO INTERSTATE CARRIERS 

(a) Any person engaged in transporting persons or 
property in interstate commerce for compensation who is 
subject to regulation by, and to the jurisdiction of, the 
Interstate Commerce Commission or the United States 
Department of Transportation and who is required by 
either saeh federal agency to keep records according to its 
generally accepted accounting principals (GAAP) standard 
classification of aooounting or, in the case of a small 
certified air carrier, is required by the United States 
Department of Transportation to make reports of financial 
and operating statistics, statistics is an interstate carrier. 
An interstate carrier may secure from the Secretary of 
Revenue a refund of the North Carolina state and county 
sales or use tax paid by such person on purchases or 
acquisitions of lubricants, repair parts and accessories in 
this state for motor vehicles, railroad cars, locomotives and 
airplanes operated by such person. Claoo I, II and HI 
common and contract carriers arc under the jurisdiction of 
the Interstate Commerce Commission: however, Class III 
common and contract carri e rs ar e not r e quir e d to k ee p 
r e cords aeoording to th e Int e rstat e Comm e rc e Commis 
sion's standard classification of accounting and are not 
entitled to a refund under the provisions of this Rule. 
Persons not meeting all of the requirements in this Rule are 
not entitled to a refund under the provisions of this Rule. 
The highway use tax levied under Article 5A of Chapter 
105 of the General Statutes is not refundable under the 



provisions of this Rule and the fee levied on new motor 
vehicle tires by the Scrap Tire Disposal Act are is not 
refundable under the provisions of this Rule. 

(b) ft) The following are items of tangible personal 
property which may be included in purchases on lino 1 of 
the application for refund, Form E-581, filed by interstate 
carriers: 

(1) fA) antennas; 

(2) fB) antifreeze; 

(3) (G) bedding for motor vehicle sleeping compart- 
ments; 

(4) fB) charts for tachographs; 

(5) (E) decals for motor vehicles; 

(6) fF) emergency flares and reflectors; 

(7) (G) fire extinguishers; 

(8) f54) freon or nitrogen used in refrigerating and 
cooling motor vehicles; 

(9) (J) furniture pads; 

(10) (J) lifeboats and oxygen masks; 

(11) fK) load jacks and chains; 

(12) ft) mobile CB radios; 

(13) fM) motor vehicle seat cushions; 

(14) (N) paints for decals; 

(15) (©) polyethylene liners (used to waterproof 
trailers); 

(16) fP) pouches for registration cards and permits; 

(17) fQ) radios; 

(18) fB) ramp equipment (aircraft steps used to 
embark or disembark aircraft); 

(19) fS) ropes and chains to tie down cargo (adapted 
for use on motor vehicles; otherwise not al- 
lowed); 

(20) fF) signs (metal signs attached to trucks); 

(21) (tf) tarpaulins; 

(22) f¥) tire chains; 

(23) fW) tire and tubes; 

(24) fX) welding rods for repair of motor vehicles; 

(25) f¥) windshield solvents; 

(26) f£) zipped covers for grills. 

(c) (3) The following are purchases of items of tangible 
personal property which shall not be included in the claim: 

(1) (A) drivers' gloves; 

(2) fB) drivers' uniforms; 

(3) fG) food trays (airplanes); 

(4) (D) fork lift tires and parts; 

(5) (E) gauges for testing equipment; 

(6) fF) hand trucks; 

(7) (G) license and inspection fees; 

(8) (H) pallets; 

(9) fl) pillows (airplanes); 

(10) fJ) repair labor; 

(1 1) fK) road service charges; 

(12) (fe) security seals; 

(13) (M) sixty percent on recapped tires where forty 
percent of the combined price is taxed (17 
NCAC 7B .1901); 

(14) (N) tire volume discounts; 



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(15) (OHools, shop supplies; 

(16) m trip logs; 

(17) fQ) wax and washing supplies. 

(d) &) The lists in this Rule are not intended to be 
exclusive, but are for illustrative purposes only. If mere 
is any question as to whether or not any item which does 
not appear therein should be included in total purchases on 
line 1 of the application for refund, a ruling on such items 
may be obtained from the Sales and Use Tax Division. 

(e) (te) The Secretary shall compute the North Carolina 
sales or use tax which would be due with respect to all 
lubricants, repair parts and accessories acquired during the 
refund period as though all such purchases were made in 
this state but only on such proportion of the total purchase 
prices thereof as the total number of miles of operation of 
such applicant's motor vehicles, railroad cars, locomotives 
and airplanes within this state bears to the total number of 
miles of operation of such applicant's motor vehicles, 
railroad cars, locomotives and airplanes within and without 
this state, and such amount of sales and use tax as the 
applicant has paid in this state during said refund period in 
excess of the amount so computed shall be refunded to the 
applicant. 

(f) (e) The Secretary shall compute the county sales or 
use tax which would be due with respect to all lubricants, 
repair parts and accessories acquired during the refund 
period in the same manner as the state sales and use tax set 
out in Paragraph (ej fb-> of this Rule. 

(g) fd-) Application for refund forms wtW shall be 
furnished by the Secretary of Revenue and shall be signed 
by a duly authorized person and notarized. Claims shall be 
filed quarterly within 60 days from the close of each 
quarter ending in March. June. September and December 
of each year covering the purchases or acquisitions during 
the preceding quarter of lubricants, repair parts and 
accessories for motor vehicles, railroad cars, locomotives 
and airplanes. Any claim not filed during the period 
specified above w-i+1 shall not be allowed unless an exten- 
sion of time has been granted, in which case the claim 
mu s t shall be filed during the extended period 

(h) fe) The application for refund shall show . in 
addition to all other required information, the total number 
of miles of operation of motor vehicles, railroad cars, 
locomotives and airplanes within and without this state, the 
total number of miles of operation of motor vehicles, 
railroad cars, locomotives and airplanes in this state, the 
total purchase price of lubricants, repair parts and accesso- 
ries for motor vehicles, railroad cars, locomotives and 
airplanes and the total amount of North Carolina state and 
county sales and use tax paid on such purchases. Any 
sales or use tax paid to state or local taxing authorities 
must shall be excluded from total purchases as shown on 
line 4 of the application for refund. The amount of 
purchases of accessories attached to motor vehicles at the 
time of purchase on which the highway use tax was paid 
shall not be included in total purchases on line 4 of the 
refund form. The application for refund form e entain s 



shall contain the procedure prescribed for computing the 
amount of the refund and the information necessary to 
complete such application. Records, upon which the 
application for refund is based, must shall be maintained in 
such manner as to enable a representative of the Depart- 
ment of Revenue to accurately and conveniently verify the 
correctness of the applicant's statements. The application 
for refund shall be completed in triplicate and two copies 
returned to the North Carolina Department of Revenue, 
Office Examination Division, Raleigh, North Carolina, 
within the time prescribed herein. After a representative 
of the Department has verified the correctness of the 
application for refund, a voucher for the amount due. if 
any, will be issued. 

(jj ff-) Nothing in this Rule shall be so construed as to 
relieve any taxpayer of liability for remitting sales or use 
tax on taxable purchases of lubricants, repair parts and 
accessories for motor vehicles, railroad cars, locomotives 
and airplanes. 

History- Note: Authority G.S. 105-164. 14; 105-262; 
Eff. February 1, 1976; 

Amended Eff August 7, 1996 ; October 1, 1993; July 1. 
1990; February 1, 1987. 

SECTION .4400 - LEASE OR RENTAL 

.4408 LEASES: OUT OF STATE 
NEGOTIATIONS 

Lessors of motor vehicles may elect to pay the highway 
use tax to the Commissioner of Motor Vehicles when 
applying for a certificate of title for a motor vehicle 
purchased for lease or rental or they may collect and remit 
to the Secretary of Revenue the alternate gross receipts tax 
on the lease or rental receipts derived therefrom. G.S. 
105-187. 1 through G.S. 105-187. 1 1 contains the provisions 
of the highway use tax and alternate gross receipts tax rates 
on motor vehicles. To make the election to collect and 
remit the tax on rental receipts, the lessor must shall 
complete a Form MVR 608 (Rev. 10 00) provided by the 
Division of Motor Vehicles at the time of applying for a 
certificate of title. Once made, an election is irrevocable 
for that motor vehicle. If North Carolina Lessors lease 
motor vehicles to out-of-state lessees to be located, domi- 
ciled or assigned in this state for use in interstate opera- 
tions, the lessors ar e r e quir e d to shall remit the highway- 
use tax to the Commissioner of Motor Vehicles when 
applying for a certificate of title for the vehicles or collect 
and remit the alternate gross receipts tax on the lease or 
rental receipts notwithstanding that the lease may be 
negotiated outside North Carolina or that the vehicles are 
delivered to the lessees at a point outside this state or are 
registered outside this state. If North Carolina lessors 
lease motor vehicles to out-of-state lessees for use exclu- 
sively in a state other than North Carolina and deliver the 
vehicles to the lessees at a point outside this state, the 
lessor is not liable for the highway use tax on the vehicle 



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219 



APPROVED RULES 



or the alternate gross receipts tax on the lease receipts. 

History Note: Authority G.S. 105-164.4; 105-164.13; 

105-187.5; 105-262; 

Eff. February 1, 1976; 

Amended Eff. August 7, 1996; October 1, 1993; July 5, 

1980. 

SECTION .4900 - TRANSPORTATION 
CHARGES 

.4902 SHIPMENTS FROM WITHIN NORTH 
CAROLINA 

(a) Freight, delivery or other transportation charges 
made or paid in connection with the sale or purchase of 
tangible personal property are subject to the applicable few 
porcont state ta* and any applicable local sales or use tax 
when the shipment originates within this state unless title 
to the transported property passes to the vendee at the point 
of origin, or the sale of the property being transported is 
exempt from sales and use tax. Except as provided by 
Paragraph (c) of this Rule, or unless the terms of the sale 
dictate otherwise, title to property being transported is 
deemed to have passed to the purchaser at the point of 
origin only when: 

(1) The vendor delivers the property to a common 
carrier acting in his capacity as such, including 
the U.S. Mails, for delivery to the vendee. If 
property is sold and the vendor contracts for 
delivery with a carrier other than a common 
carrier, unless the sale dictates to the contrary, 
title remains with the vendor. If the vendee 
contracts with a contract carrier, it becomes the 
vendee's property when the contract carrier takes 
delivery; or 

(2) The vendor delivers the property to the vendee 
or his agent for transportation by the vendee or 
his agent. 

A common carrier is any person who transports persons or 
property for the general public for hire. A contract carrier 
is a person operating under an individual contract or 
agreement with another person to transport persons or 
property for hire. 

(b) Except as provided by Paragraph (a) of this Rule, 
when the vendor prepays transportation charges connected 
with the taxable sale or purchase of tangible personal 
property, the tax shall be computed on the total amount 
charged for the property and for transporting the same, 
even though the transportation charges are billed separately 
or are separately stated on the invoice for the property. 

(c) In the case of so-called delivered price shipments or 
shipments FOB the place of destination, the sales and use 
tax must shall be computed on the delivered price without 
any deduction for transportation charges included therein. 
When tangible personal property the sale or purchase of 
which is subject to tax is delivered freight prepaid and 
allowed or freight collect and allowed, the sales or use tax 



must shall be computed on the total sales or purchase price 
of the property before any allowance for transportation 
charges is deducted. 

History Note: Authority G.S. 105-164.12; 105-262; 

Eff. February 1, 1976; 

Amended Eff. August ]_, 1996; October 1, 1993; October 1, 

1991. 



TITLE 21 - OCCUPATIONAL LICENSING 
BOARDS 

CHAPTER 1 - NORTH CAROLINA 
ACUPUNCTURE LICENSING BOARD 

SECTION .0700 - ADMINISTRATIVE 
PROCEDURES 

.0705 INITIATION OF FORMAL HEARINGS 

(a) The North Carolina Acupuncture Licensing Board 



may initiate a disciplinary action against a licensed acu- 
puncturist or applicant pursuant to G.S. 90-456. 

(b) Upon receipt of a written request and substantiating 



information from any person in a position to present 



information as a basis for the action, the North Carolina 



Acupuncture Licensing Board shall conduct an investigation 



sufficient to determine whether reasonable cause exists to 
initiate disciplinary action(s). 

(c) An opportunity will be given the person for a 
hearing before the Board at the next meeting. 

History Note: Authority G.S. 90-456; 150B-38(h); 
Eff. August 1. 1996. 

.0709 PROCEDURE OF REVOCATION OF 
LICENSURE 

(a) If the North Carolina Acupuncture Licensing Board 



determines that reasonable cause exists to initiate a disci- 



plinary action pursuant to G.S. 90-456, the Board shall 
prepare written charges and determine what action(s) shall 
be taken. 

(b) The Board shall provide the person with a copy of 
the written charges and notify the person that it shall take 
the determined action(s) unless the person, within 60 days 
of receipt of notice, initiates administrative proceedings 
under G.S. 150B, Article 3A. The notice will be sent 
certified mail, return receipt requested. 

(c) If the person initiates administrative proceedings the 
North Carolina Acupuncture Licensing Board shall defer 



final action on the matter until the proceedings are com- 
pleted. If the person does not initiate administrative 



proceedings within 60 days of receipt of notice, the North 



Carolina Acupuncture Licensing Board may implement the 
action(s) at its next meeting. 

(d) The North Carolina Acupuncture Licensing Board 
may reinstate a suspended or revoked license or may grant 



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APPROVED RULES 



a new license upon application and demonstration of 
satisfactory compliance with Board requirements. 

History Note: Authority G.S. 90-456; 150B-38(h); 
Eff. August 1, 1996. 



CHAPTER 32 - BOARD OF MEDICAL 
EXAMINERS 

SUBCHAPTER 32H - EMERGENCY MEDICAL 
SERVICES ADVANCED LIFE SUPPORT 

SECTION .0100 - GENERAL INFORMATION 

.0101 AUTHORrTY: INTENT AND GOALS 

(a) In establishing and approving rules pursuant to G.S. 
1 4 3 514, it is the intent of the Board of Medical Examiners 
and th e Departm e nt of Human Rooouro e s to r e spond to an 
ongoing nood for prof e ssionally e duoat e d m e dioal and 
nursing personnel to deliver effective medical care to the 
s ick and injured at the scene of a medical emergency and 
during transport to a h e alth oar e faoility. 

(b) Improv e d e m e rg e noy m e dioal oorvioos ar e r e quired 
to reduce the mortality and morbidity rate during the first 
critical minutes immediately following trauma or the onset 
of a m e dioal e m e rg e ncy. Within th e goals of th e Board of 
Medioal Examin e rs and th e D e partment of Human R e 
sources in establishing those rules is the provision of the 
best and most economical delivery of emergency medical 



History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. April 1, 1993; May 1, 1989; May 1, 1988; 

Repealed Eff. August 1, 1996. 

.0102 DEFINITIONS 

The following definitions apply in this Subchapter: 

(1) "Audit and review panel" means a committee 
composed of representatives of the medical, 
nursing, administrative and prehospital care 
service elements of an advanced life support 
(ALS) program that has the responsibility for the 
on-going monitoring and evaluation of the pro- 
gram. The chairman of the panel shall be a 
physician and a majority of the voting members 
shall be physicians. 

(2) "Emergency medical technician-advanced inter- 
mediate (EMT-AI)" means a person specially 
educated in a program approved by the Office of 
Emergency Medical Services who has been 
certified or recertified by the Board of Medical 
Examiners North Carolina Medical Board as 
qualified to render the services enumerated in 
Rule .0406 of this Subchapter. 

(3) "Emergency medical technician-defibrillation 



(EMT-D)" means a person specially educated in 
a program approved by the Office of Emergency 
Medical Services who has been certified or 
recertified by the Board of Medical Examiners 
North Carolina Medical Board as qualified to 
render the services enumerated in Rule .0407 of 
this Subchapter. 

(4) "Emergency medical technician-intermediate 
(EMT-I)" means a person specially educated in 
a program approved by the Office of Emergency 
Medical Services who has been certified or 
recertified by the Board of Medical Examiners 
North Carolina Medical Board as qualified to 
render the services enumerated in Rule .0403 of 
this Subchapter. 

(5) "Emergency medical technician-paramedic 
(LMT-P)" means a person specially educated in 
a program approved by the Office of Emergency 
Medical Services who has been certified or 
recertified by the Board of Medical Examiners 
North Carolina Medical Board as qualified to 
render the services enumerated in Rule .0402 of 
this Subchapter. 

(6) "Advanced Life Support Professional (ALS 
Professional)" means a certified emergency 
medical dispatcher, emergency medical 
technician-defibrillation, emergency medical 
technician-intermediate, emergency medical 
technician-advanced intermediate, or emergency 
medical technician-paramedic whether working 
on a paid or volunteer basis. 

(7) "Medical control" means the management and 
accountability for the medical care aspects of an 
ALS program. It entails physician direction and 
oversight of the initial education and continuing 
education of the ALS professionals; development 
and monitoring of both operational and treatment 
protocols; evaluation of the medical care ren- 
dered by ALS personnel; participation in system 
evaluation; and directing, by radio or telephone, 
the medical care rendered by the ALS profes- 
sionals. 

(8) "Medical director" means the physician responsi- 
ble for the medical aspects of the management of 
an ALS program. 

(9) "Mobile intensive care nurse (MICN)" means a 
registered nurse who has been approved or 
reapproved by the Board of Medical Examiners 
North Carolina Medical Board to issue instruc- 
tions to ALS professionals in accordance with 
protocols approved by the sponsor hospital and 
under the direction of the medical director. 

(10) "Advanced life support program (ALS program)" 
means a program of prehospital emergency 
medical care whereby definitive medical care is 
delivered to a victim of sudden injury or illness 
by appropriately educated and certified ALS 



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221 



APPROVED RULES 



professionals operating under the direction of a 
sponsor hospital. All ALS programs shall con- 
form to the criteria established in the rules 
contained in this Subchapter and must shall be (18) 

approved by the Office of Emergency Medical 
Services. 

(11) "Mobile intensive care unit" means any emer- (19) 
gency vehicle staffed by ALS professionals and 
equipped in accordance with standards estab- 
lished by the North Carolina Medical Care 
Commission as found in 10 NCAC 3M .0202, 

.0203, .0204, .0205, and .0207 to provide 
remote intensive care to sick and injured persons 
at the scene of a medical emergency and during 
transport to a health care facility. 

(12) "Oral interview panel" means a committee 
composed of physicians, ALS professionals 
certified at or above the level of application and 

may include other medical personnel such as (20) 

registered nurses and mobile intensive care 
nurses involved in the ALS program. The re- 
sponsibility of the oral interview panel is to (21) 
interview each applicant for certification, either 
collectively or individually, and evaluate his 
suitability to perform successfully at the certifi- 
cation level sought. The panel must shall be 
approved by the medical director and consist of 
a minimum of three members including one 
physician and one ALS professional. 

(13) "Office of Emergency Medical Services" means (22) 
an official agency of the State of North Carolina, 
Department of Human Resources, that serves in 

an administrative capacity to the Board of Modi 
oal Examin e ro. North Carolina Medical Board. 

(14) "Physician" means an individual licensed by the 

Board of Medical Examiners North Carolina (23) 

Medical Board to practice medicine in the State 
of North Carolina. 

(15) "Sponsor hospital" means a hospital and its 

medical staff which participates in an ALS (24) 

program and has responsibility for providing or 
ensuring the provision of initial education, 
continuing education, and medical control to the 
ALS professionals. The sponsor hospital shall 
meet criteria adopted by the Board of Medical 
Examin e rs North Carolina Medical Board and be (25) 

approved by the Office of Emergency Medical 
Services. 

(16) "Study project" means a proposal involving 
exceptions to the provisions of this Subchapter 

for the purpose of evaluating the efficiency and (26) 

effectiveness of alternate means of providing 
ALS services to the citizens of North Carolina. 

(17) "Blind insertion airway device" means an airway 

adjunct designed to be used as a pharyngeal or (27) 

esophageal device which is inserted without the 
use of direct visualization. For the purposes of 



these rules, this definition does not include 
esophageal obturator airways, esophageal gastric 
tube airways, or endotracheal tubes. 
"Coding" means the selection and assignment of 
an alphanumeric classification to a call for 
medical assistance by an EMD. 
"Emergency Medical Dispatcher (EMD)" means 
a trained public safety telecommunicator with 
additional training and specific emergency medi- 
cal knowledge essential for the efficient manage- 
ment of emergency medical service communica- 
tions who has successfully completed an educa- 
tion and training program meeting the criteria 
established by the Office of Emergency Medical 
Services and who functions as an agent or con- 
stituent of an Emergency Medical Dispatch 
Program approved by the Office of Emergency 
Medical Services. 

"Emergency Medical Dispatching" means the 
reception and management of requests for emer- 
gency medical assistance. 
"Emergency Medical Dispatch Program" means 
the approved program with procedures estab- 
lished for the management and delivery of 
emergency medical assistance by a public or 
private agency that sends emergency medical 
assistance to requesting persons and provides 
pre-arrival instructions for a victim of sudden 
injury or illness. 

"Emergency Medical Dispatch Priority Reference 
System (EMDPRS)" means a medically approved 
written or computer generated reference system 
used by an emergency medical dispatching 
agency to provide medical direction, and to 
dispatch aid to medical emergencies. 
"EMD selection" means the process which 
establishes criteria to identify a candidate foi 
education and training as an Emergency Medical 
Dispatcher (EMD). 

"Pre-arrival instructions" means telephone ren 
dered, medically approved written instructions 
read by emergency medical dispatchers to call 
ers, which help provide aid to the victim anc 
control the situation prior to patient access by 
pre-hospital care providers. 
"Public Safety Telecommunicator" means ar 
individual trained to communicate by electronic 
means with persons seeking emergency assis 
tance and with public or private agencies anc 
individuals providing such assistance. 
"Approved Teaching Institution" means ai 
agency with a current contract with the Office o 
Emergency Medical Services to provide emer 
gency medical services training programs. 
"Medical Direction Assistant (MDA)" means i 
physician assistant or nurse practitioner who ha 
been approved or reapproved by the Nortl 



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11: 



APPROVED RULES 



Carolina Medical Board to issue instructions to 
ALS professionals in accordance with protocols 
approved by the sponsor hospital and under the 
direction of the medical director. 



History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August L W2§L July 1, 1996; April 1, 1993; 

May 1, 1989; May 1, 1988. 

SECTION .0200 - PROGRAM STANDARDS AND 
APPROVAL 

.0201 ADVANCED LIFE SUPPORT PROGRAM 
CRITERIA 

ALS programs shall cover a defined service area ef 
generally not losa than ono count) 1 and muat shall have the 
following: 

(1) a plan, as specified in Rule .0302 of this Sub- 
chapter, for the coordination of the sponsor 
hospitals participating in the program; 

(2) a designated medical director who shall be 
responsible either directly or by clearly estab- 
lished delegation to the other licensed physicians 
at the sponsor hospital(s) for the following: 

(a) the establishment, approval and periodic 
updating of treatment protocols or 
EMDPRS for emergency medical dispatch 
programs; 

(b) medical supervision of the selection, initial 
education, continuing education and per- 
formance of the ALS professionals, pi=e- 
fossionals and MICN and MDA person- 
nel; 

(c) the medical review of the care provided to 
patients; 

(d) keeping the care provided current with 
advanced biomedical science and technol- 
ogy; and 

(e) participation in the overall management of 
the ALS program in liaison with nursing, 
technical, and administrative staff of the 
program. The medical director has shall 
have the authority to suspend temporarily, 
pending due process review, an ALS 
profoooional — ef — MICN professional, 
MICN, or MDA from further participa- 
tion in the ALS program when it is deter- 
mined the activities or medical care ren- 
dered by such personnel may be detrimen- 
tal to the care of the patient; 

(3) an organized and defined system of communica- 
tions that provides for: 

(a) public access through a central emergency 
communications center; 

(b) dispatch and coordination of all resources 
(manpower, vehicles and equipment) 



essential to the effective and efficient 
management of requests for emergency 
medical assistance; 

(c) communications linkages for interacting 
with other public safety agencies to obtain 
additional resources required to support 
emergency medical services activities; and 

(d) two-way voice communications as speci- 
fied in Rule .0303 (a) (2) (H) of this 
Subchapter between the ALS professionals 
and the personnel at the sponsor hospital 
responsible for directing the medical 
treatment rendered by the ALS profession- 
als; 

(4) adequate certified manpower to ensure that the 
program will be continuously available on a 24 
hour-a-day basis; and 

(5) an audit and review panel that meets at a mini- 
mum on a quarterly basis and whose responsibil- 
ities include at least the following: 

(a) reviewing ALS cases to determine the 
appropriateness of the medical care ren- 
dered by all personnel involved in the 
cases; 

(b) making recommendations to the medical 
director for the continuing education 
program for ALS personnel; and 

(c) reviewing the policies, procedures and 
protocols of the ALS program and making 
recommendations for improvement. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August L 1996; July 1, 1996; April 1, 1993; 

May 1, 1989; May 1, 1988. 

SECTION .0300 - HOSPITAL UTILIZATION 

.0301 HOSPITAL INVOLVEMENT 

Hospital and hospital medical staff participation in the 
establishment, operation and ongoing evaluation of ALS 
programs is essential. The role of each participating 
hospital within the service area of an ALS program mu s t 
shall be defined, and the operational procedures outlined 
and agreed to by all participants so as to help ensure 
proper coordination. Sponsor Hospitals may provide 
services utilizing ALS personnel for the delivery of 
emergency medical care to the sick and injured at the scene 
of an emergency and during education of the ALS profes- 
sionals. While functioning pursuant to these Rules, the 
ALS professionals shall be under the control and supervi- 
sion of the physician, physician or approved MICN or 
MDA of the sponsor hospital from which they are receiv- 
ing instructions. 

History Note: Authority G.S. 143-514; 
Eff. October 31. 1980; 



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May 15, 1996 



223 



APPROVED RULES 



Amended Eff. August 1_. 1996; April 1, 1993; May 1, 
May 1, 1988; October 1, 1985. 



.0302 



1989; 



PLAN FOR PARTICIPATING 
HOSPITALS 

(a) Each ALS program shall have a written plan which 
outlines the roles and responsibilities of each of the sponsor 
hospitals that will function in the program. The plan shall 
allow for the participation of all hospitals within the service 
area of the ALS program that meet the sponsor hospital 
criteria even though one or more hospitals may choose not 
to participate at the initiation of the program. One hospital 
shall be designated as being administratively responsible 
for the ALS program and as such have overall responsibil- 
ity for administration and coordination of the program and 
ensuring compliance with the requirements of this Subchap- 
ter. Changes in this designation must shall be approved by 
the Office of Emergency Medical Services. 

(b) The plan shall be approved by the chief of staff and 
chief executive officer of each participating hospital and 
shall include at a minimum: 

(1) a description of the role each hospital is to have 
in the ALS program; 

(2) a description of the operational procedures to be 
followed by the ALS professionals, professionals 
asd MICN and MDA personnel to obtain medi- 
cal direction; 

(3) the treatment protocols to be utilized in the 
program and a description of the procedure to be 
followed to modify them; 

(4) a description of how the audit and review func- 
tion will be established and carried out; 

(5) a description of the methodology for providing 
continuing education for the ALS professionals. 
prof e ssionals and MICN and MDA personnel; 
and 

(6) a description of the mechanism for providing 
physician backup to the MICN and MDA per- 
sonnel in programs where they are utilized. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; ' 

Amended Eff. August _L 1996; April 1, 1993; May 1, 1989; 

May 1, 1988. 

.0303 SPONSOR HOSPITAL 

(a) To be approved by the Office of Emergency Medical 
Services as a sponsor hospital, a hospital must: shall: 

( 1 ) demonstrate that it will function as part of an 
ALS program in accordance with a plan meeting 
the requirements of Rule .0302 of this Section; 

(2) meet ail of the following criteria: 

(A) have physician, physician or MICN or 
MDA coverage available 24 hours per day 
in the emergency department or critical 
care unit for communication with the ALS 
professionals; 



(B) 

(Q 
(D) 



(E) 
(F) 
(G) 
(H) 



(I) 



(J) 



ensure 24 hour availability of a registered 
nurse who is primarily responsible to meet 
ALS patients upon arrival at the emer- 
gency department; 

have a physician available to provide 
backup to the MICN or MDA issuing 
instructions to the ALS professionals; 
appoint a registered nurse to act as a 
liaison between the ALS professionals and 
the hospital. The nurse liaison muot shall 
meet the requirements set forth in the 
"Guidelines for the Selection and Perfor- 
mance of the Emergency Medical Services 
Nurse Liaison" dated October 1990; 4990 
aad — incorporat e d — her e in — by — r e f e r e noo 



including — subsequent — amendments — aad 
editions; 

appoint a physician to serve as a medical 
director or liaison to the medical director 
of the ALS program; 
have written support letters for the pro 
gram from both the chief executive officer 
and chief of staff of the hospital; 
establish or participate in an audit and 
review panel that meets at a minimum 
quarterly; 

have access to and operate a communica 
tions system that will provide, at a mini 
mum, two-way voice communications to 
ALS professionals anywhere in the service 
area of the ALS program. The progran 
medical director must shall verify that, ii 
his opinion, the communications system is 
satisfactory for on-line medical control. 
The communications system shall provid* 
for communication from the onset o 
patient treatment through the delivery o 
the patient at the medical treatment facil 
ity. The communications system shall b( 
operational 24 hours per day and shal 
allow for initiation of communication b) 
either the ALS professionals or by th( 
sponsor hospital that is directing the pa 
tient care procedures and treatment. Ap 
proved first responder organizations func 
tioning at the EMT-D level of care as pai 
of approved ALS programs are exemp 
from the requirements of this Paragraph 
provide orientation regarding the AL 
program to appropriat e medical and nun 
ing personnel at the hospital; hospital wh 
participate in the program; 
have treatment protocols adopted by th 
medical staff covering the performance 
ALS professionals which are consisten 
with those being used throughout the AL 
program; 



224 



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May 15, 1996 



11. 



APPROVED RULES 



(K) provide or ensure provision of a continu- 
ing education program approved by the 
Office of Emergency Medical Services for 
ALS professionals, professionals — and 
MICN and MDA personnel; and 
(L) provide or ensure provision of supervised 
clinical experience for those participating 
in the educational program, 
(b) In addition, the sponsor hospital designated as 
administratively responsible for the ALS program muot 
shall have a physician in the emergency department 24 
hours a day who is available to give orders and medical 
direction to the ALS professionals. For ALS programs 
that do not have a participating hospital within their area 
with a physician in the emergency department 24 hours a 
day, this requirement may be met by the sponsor hospital 
designated as administratively responsible for the program 
defining a mechanism to provide physician backup to the 
MICN or MDA and medical control to the ALS profes- 
sionals. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August L, 1996; April 1, 1993; May 1, 1989; 

May 1, 1988; October 1, 1985. 

SECTION .0400 - EDUCATION AND 

PERFORMANCE OF ADVANCED LIFE 

SUPPORT PERSONNEL 

.0401 EDUCATIONAL PROGRAMS 

(a) An educational program intended to qualify person- 
nel as ALS professionals, professionals or MICNs or 
MDAs must shall be approved by the Office of Emergency 
Medical Services. Proposals for educational programs 
fHust shall be submitted for approval at least 20 days prior 
to the date on which the program is scheduled to start. 

(b) ALS professional students may perform the services 
and functions permitted by the rules contained in this 
Subchapter for their certification level during: 

(1) the clinical portion of an approved educational 
program while caring for patients in the sponsor 
hospital or other facility approved by the medical 
director and the Office of Emergency Medical 
Services, provided that the related didactic work 
has been completed and that they are under the 
direct supervision of a phyoioian physician, 
MDA or registered nurse; 

(2) a field internship provided that: 

(A) the related didactic work of an approved 
educational program has been completed; 

(B) they are directly supervised and accompa- 
nied by an ALS professional certified at a 
like or higher certification level or a 
physician; and 

(C) the internship is conducted within an ALS 
program approved at the same or higher 



certification level of the educational pro- 
gram. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August ]_, 1996; April 1, 1993; May 1, 1989; 

May 1, 1988; October 1, 1985. 

.0402 EMERGENCY MEDICAL TECHNICIAN- 
PARAMEDIC PERFORMANCE 

EMT-Ps educated in approved programs, certified by the 
Board of Medical Examiner s North Carolina Medical 
Board to perform medical acts, and functioning in an 
approved ALS program may do any of the following in 
accordance with the protocols established by their sponsor 
hospital: 

(1) While at the scene of a medical emergency 
where the capability of continuous two-way voice 
communication is maintained with a physician, 
physician or approved MICN or MDA located in 
the sponsor hospital, and upon order of such 
physician, physioian or MICN or MDA : 

(a) establish an intravenous line in a periph- 
eral vein and administer any of the follow- 
ing intravenous solutions: 

(i) Dextrose 5% in Water; 

(ii) Lactated Ringers Solution; 

(iii) Normal Saline; 

(iv) Dextrose 5% Lactated Ringers; 

(v) Dextrose 5% s h Normal Saline: 

(vi) Dextrose 5% 1/4 Normal Saline; 
(vii) Dextrose 10% in Water; and 
(viii) Dextrose 5% Normal Saline; 

(b) obtain blood for laboratory analysis; 

(c) administer in an approv e d a fashion via aft 
appropriate a route approved by the local 
program medical director any of the fol- 
lowing medications: 

ADVANCED CARDIAC LIFE 

SUPPORT MEDICATIONS: 

(i) Atropine; 

(ii) Bretylium; 

(iii) Calcium Chloride/Gluconate; 
(iv) Dobutamine; 

(v) Epinephrine 1:1000; 
(vi) Epinephrine 1:10,000; 
(vii) Isoproterenol; 
(viii) Lidocaine; 
(ix) Sodium Chloride Injection; 

(x) Procainamide; 
(xi) Sodium Bicarbonate; and 
(xii) Dopamine; 
ANESTHETICS: 

(i) Lidocaine 1% or 2%; 

(ii) Procaine 1% or 2%; 
CARDIORESPIRATORY AGENTS: 

(i) Adenosine; 



11:4 



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May 15, 1996 



225 



APPROVED RULES 



(ii) Albuterol (by inhalation); 

(iii) Aminophylline; 

(iv) Furosemide; 

(v) Isoetharine (by inhalation); 

(vi) Metaproterenol (by inhalation); 
(vii) Nifedipine; 
(viii) Nitroglycerin Sublingual; 

(ix) Nitroglycerin Paste; 

(x) Propranolol; 

(xi) Racemic Epinephrine (by inhala- 
tion); 
(xii) Terbutaline (injectable or by inhala- 
tion); and 
(xiii) Verapamil; 

OTHER MEDICATIONS: 



(i) 


Diazepam Injectable; 


(ii) 


Diphenhydramine Injectable; 


(iii) 


Dextrose 50%; 


(iv) 


Glucagon (Intramuscular or Subcu- 




taneous); 


(v) 


Heparin (for use with heparin 




locks); 


(vi) 


IV Steroid Preparations; 


(vii) 


Mannitol; 


(viii) 


Naloxone; 


(ix) 


Phenytoin Injectable; 


(x) 


Promethazine; 


(xi) 


Thiamine (intramuscular or intrave- 




nous); 


(xii) 


Aspirin; 


(xiii) 


Lorazepam Injectable; 


(xiv) 


Amyl Nitrite (Pearls); aad 


(XV) 


Flumazenil; 


(xvi) 


Dextrose 25%; 


(xvii) 


Ketorolac; 


(xviii) 


Midazolam; and 


(xix) 


Magnesium Sulfate Injectable; 



ANALGESICS: 

(i) Meperidine; 

(ii) Morphine Sulfate; 
(iii) Nalbuphine Hydrochloride; and 
(iv) Nitrous Oxide (via respiratory 
route); 

(d) perform pulmonary ventilation by means 
of a blind insertion airway device or 
endotracheal tube; 

(e) perform defibrillation or cardioversion; 

(f) use gas-powered or hand-powered nebuliz- 
ers; 

(g) decompress a tension pneumothorax by 
use of a catheter-flutter-valve device; 

(h) use positive end expiratory pressure respi- 
rators; 

(i) perform cricothyrotomy for relief of upper 
airway obstruction; 

(j) perform gastric suction by intubation; 

(k) perform urinary catheterization; 



(2) 



(1) perform external cardiac pacing; 
(m) establish an intraosseous infusion line in 
appropriat e patients under 60 months of 
age and use it to administer any appropri 
ate intravenous fluid or medication speci- 
fied in this Rule approved by the local 
program medical director for intraosseous 
infusion ; 
(n) administer fluids and medications using 
previously established indwelling semi- 
permanent central venous catheters; and 
(o) place and maintain heparin or saline locks. 
When confronted with serious or life threatening 
clinical situations as defined in the patient care 
protocols established by the sponsor hospital of 
the ALS program and approved by the Office of 
Emergency Medical Services, perform as neces- 
sary under standing orders any of the following 
prior to contacting the sponsor hospital: 

(a) cardiopulmonary resuscitation; 

(b) defibrillation, cardioversion, or external 
cardiac pacing; 

(c) pulmonary ventilation by means of a blind 
insertion airway device or endotracheal 
tube; 

(d) establish an intravenous line in a periph- 
eral vein. If the intravenous line is not 
successfully established after two attempts, 
the EMT-P must shall contact the sponsor 
hospital prior to making another attempt; 

(e) establish an intraosseous infusion line in 
appropriate patients under 60 months of 
age and use it to administer any appropri 



ate intravenous fluid or medication speci- 
fied in this Rule approved by the local 



(f) 



medical program director for intraosseous 
infusion ; 

administer the following medications: 
(i) Albuterol (by inhalation); 
(ii) Bretylium; 
(iii) Epinephrine 1:1000; 
(iv) Epinephrine 1:10,000; 
(v) Furosemide; 

(vi) Metaproterenol (by inhalation); 
(vii) Nitroglycerin; 
(viii) Terbutaline (injectable or by inhala- 
tion); 
(ix) Atropine; 
(x) Dextrose 50%; 
(xi) Lidocaine; 
(xii) Naloxone; 
(xiii) Sodium Bicarbonate, 
(xiv) Diazepam Injectable; 
(xv) Diphenhydramine Injectable; 
(xvi) Aspirin; 
(xvii) Thiamine (intramuscular or intrave- 
nous); ftftd 



226 



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May 15, 1996 



"■ 



APPROVED RULES 



(xviii) Lorazepam (injectable); 

(xix) Dextrose 25%; 

(xx) Isoetharine (by inhalation); 

(xxi) Midazolam; and 
(xxii) Magnesium Sulfate Injectable. 
(3) When transporting from one medical facility to 
another a patient who is receiving intravenous 
therapy begun at the transferring facility, and 
where the capability of continuous two-way voice 
communication is maintained with a physician. 
phyoioian or approved MICN or MDA located in 
the sponsor hospital, or when meeting the re- 
quirements of Rule . 1003 of this Subchapter and 
upon order of such physician, phyoioian or 
MICN or MDA , EMT-Ps may maintain intrave- 
nous lines for the following medications: 

(a) IV Antibiotics; 

(b) Whole Blood and Components; 

(c) Heparin Drip; 

(d) Magnesium Sulfate Drip; 

(e) Nitroglycerin Drip; 

(f) Potassium Chloride; 

(g) Urokinase; 
(h) Streptokinase; and 
(i) Tissue Plasminogen Activator. 

History Note: Authority G. S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August ]_,_ 1996; April 1, 1993; October 1, 

1991; October 1, 1990; March 1, 1990. 

.0403 EMERGENCY MEDICAL TECHNICIAN- 
INTERMEDIATE PERFORMANCE 

EMT-Is educated in approved programs, certified by the 
Board of M e dical Examin e ro North Carolina Medical 
Board to perform medical acts, and functioning in an 
approved ALS program may do any of the following in 
accordance with the protocols established by their sponsor 
hospital: 

(1) While at the scene of a medical emergency 
where the capability of continuous two-way voice 
communication is maintained with a physician, 
phyoioian or approved MICN or MDA located in 
the sponsor hospital, and upon order of such 
physician, physician or MICN or MDA : 
(a) establish an intravenous line in a periph- 
eral vein and administer any of the follow- 
ing intravenous solutions: 
(i) Dextrose 5 % in Water; 
Lactated Ringers Solution; 
Normal Saline; 

Dextrose 5% in Lactated Ringer's; 
Dextrose 5% in Normal Saline; 
Dextrose 5% in l /i Normal Saline; 



(ii) 
(iii) 
fiv) 

(Yj 

Mi 

(vii) 



(yiii) 



Dextrose 5_% in j_/4 Normal Saline; 

and 

Dextrose 10% in Waten 



(b) perform pulmonary ventilation by means 
of a blind insertion airway device; 

(c) obtain blood for laboratory analysis; 

(d) administer in an approved a fashion via as 
appropriate a route approved by the local 
program medical director any of the fol- 
lowing medications: 

(i) Dextrose 50%; 
(ii) Epinephrine 1:1000; 
(iii) Albuterol (by inhalation); 
(iv) Heparin (for use with heparin 

locks); 
(v) Metaproterenol (by inhalation); 
(vi) Terbutaline (injectable or by inhala- 
tion); 
(vii) Naloxone; 
(viii) Aspirin; 
(ix) Thiamine (intramuscular or intrave- 
nous); 
(x) Dextrose 25%; 
(xi) Isoetharine (by inhalation); 
(xii) Diphenhydramine Injectable; 
(xiii) Epinephrine 1:10,000; and 
(xiv) Glucagon (Intramuscular or Subcu- 
taneous); 

(e) place and maintain heparin or saline locks; 
and 

(f) use gas-powered or hand-powered nebuliz- 
ers. 

(2) When confronted with serious or life threatening 
clinical situations as defined in the patient care 
protocols established by the sponsor hospital of 
the ALS program and approved by the Office of 
Emergency Medical Services, perform as neces- 
sary under standing orders any of the following 
prior to contacting the sponsor hospital: 

(a) cardiopulmonary resuscitation; 

(b) defibrillation by means of an automatic or 
semi-automatic defibrillator; 

(c) pulmonary ventilation by means of a blind 
insertion airway device or endotracheal 
tube only when confronted with a 
pulseless non-breathing patient; 

(d) establish an intravenous line in a periph- 
eral vein. If the intravenous line is not 
successfully established after two attempts, 
the EMT-I muot shall contact the sponsor 
hospital prior to making another attempt; 

(e) administer the following medications: 

(i) Albuterol (by inhalation); 
(ii) Dextrose 50%; 
(iii) Epinephrine 1:1000; 
(iv) Metaproterenol (by inhalation); 
(v) Terbutaline (injectable or by inhala- 
tion); 
(vi) Naloxone; 
(vii) Aspirin; 



U:4 



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May 15, 1996 



227 



APPROVED RULES 



(viii) Thiamine (intramuscular or intrave- 
nous); 
(ix) Dextrose 25%; 
UU Epinephrine 1:10,000; and 
(xi) Diphenhydramine Injectable. 
(3) When in the presence of an EMT-P or EMT-AJ, 
perform any act listed in this Rule upon direction 
of the EMT-P or EMT-A] as defined by the 
patient care protocols of the ALS program and 
approved by the Office of Emergency Medical 
Services. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August L, 1996; April 1, 1993; October 1, 

1990; March 1, 1990; May 1, 1989. 

.0404 MOBILE INTENSIVE CARE NURSE 
PERFORMANCE 

MICNs currently approved by the Board of Medical 
Examiners. North Carolina Medical Board, while function- 
ing under the direction of a physician in the sponsor 
hospital of an approved ALS program, may direct ALS 
professionals to perform actions as defined in the adopted 
patient care protocols established by the sponsor hospital 
for that ALS program. All orders issued to ALS profes- 
sionals by MICNs must shall be co-signed by a physician. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August /, 1996; April 1, 1993; May 1, 1989; 

May 1, 1988; October 1, 1985. 

.0406 EMERGENCY MEDICAL TECHNICIAN: 
ADVANCED INTERMEDIATE 
PERFORMANCE 

EMT-advanced intermediates educated in approved 
programs, certified by the Board of Medical Examinoro 
North Carolina Medical Board to perform medical acts and 
functioning in an approved ALS program, may do any of 
the following in accordance with the protocols established 
by their sponsor hospital: 

(1) While at the scene of a medical emergency 
where the capability of continuous two-way voice 
communication is maintained with a physician, 
physician or approved MICN or MDA located in 
the sponsor hospital, and upon order of such 
physician, physician or MICN or MDA : 
(a) establish an intravenous line in a periph- 
eral vein and administer any of the follow- 
ing intravenous solutions; 
(i) Dextrose 5% in Water; 
(ii) Lactated Ringer's Solution; 
(iii) Normal Saline; 
(iv) Dextrose 5% l /i Normal Saline; 
(v) Dextrose 5% 1/4 Normal Saline; 
(vi) Dextrose 5% Normal Saline; 



(2) 



(vii) Dextrose 10% in Water; and 
(viii) Dextrose 5% Lactated Ringer's 
Solution; 

(b) obtain blood for laboratory analysis; 

(c) administer in an approved a fashion via as 
appropriate a route approved by the local 
program medical director any of the fol- 
lowing medications; 

(i) Albuterol (by inhalation); 
(ii) Atropine; 
(iii) Dextrose 50%; 
(iv) Epinephrine 1:1000; 
(v) Epinephrine 1:10,000; 
(vi) Heparin (for use with heparin 

locks); 
(vii) Lidocaine; 

(viii) Metaproterenol (by inhalation); 
(ix) Naloxone; 
(x) Sodium Bicarbonate; 
(xi) Terbutaline (injectable or by inhala- 
tion); 
(xii) Nitroglycerin Sublingual; 
(xiii) Nitroglycerin Paste; 
(xiv) Aspirin; 

(xv) Thiamine (intramuscular or intrave- 
nous); 
(xvi) Dextrose 25%; 
(xvii) Diphenhydramine Injectable; 
(xviii) Ketorolac; 
(xix) Isoetharine (by inhalation); and 
(xx) Glucagon (Intramuscular or Subcu- 
taneous); 

(d) perform pulmonary ventilation by means 
of a blind insertion airway device or 
endotracheal tube; 
perform defibrillation; 
perform external cardiac pacing; 
establish an intraosseous infusion line in 
appropriat e patients under 60 months of 
age and administer any appropriate intra- 
venous fluid or medications approved by 
the Board of M e dical Examiners North 
Carolina Medical Board for use by EMT- 
AIs and approved by the local program 
medical director for intraosseous infusion ; 
administer fluids and medications using 
previously established indwelling semi- 
permanent central venous catheters: 
use positive end expiratory pressure respi- 
rators; and 

place and maintain heparin or saline locks; 
use gas-powered or hand-powered nebuliz- 
ers. 

When confronted with serious or life threatening 
clinical situations as defined in the patient care 
protocols established by the sponsor hospital of 
the ALS program and approved by the Office of 



(e) 
(0 
(g) 



(h) 



(i) 

U) 
(k) 



228 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:41 



APPROVED RULES 



Emergency Medical Services, perform as neces- 
sary under standing orders any of the following 
prior to contacting the sponsor hospital: 

(a) cardiopulmonary resuscitation; 

(b) defibrillation; 

(c) pulmonary ventilation by means of a blind 
insertion airway device or endotracheal 
tube only when confronted with a 
pulseless non-breathing patient; 

(d) establish an intravenous line in a periph- 
eral vein. If the intravenous line is not 
successfully established after two attempts, 
the EMT-AI must shall contact the spon- 
sor hospital prior to making another at- 
tempt; 

(e) establish an intraosseous infusion line in 
appropriate patients under 60 months of 
age and administer any appropriate intra- 
venous fluid or medications approved by 
the Board of Medical Examiners North 
Carolina Medical Board for use by EMT- 
AI's and approved by the local program 
medical director for intraosseous infusion ; 

(f) administer the following medications: 

(i) Albuterol (by inhalation); 
(ii) Atropine; 
(iii) Dextrose 50% 
(iv) Epinephrine 1:1000; 
(v) Epinephrine 1:10,000; 
(vi) Lidocaine; 

(vii) Metaproterenol (by inhalation); 
(viii) Naloxone; 
(ix) Sodium Bicarbonate; 
(x) Terbutaline (injectable or by inhala- 
tion); 
(xi) Nitroglycerin; 
(xii) Aspirin; 

(xiii) Thiamine (intramuscular or intrave- 
nous); 
(xiv) Dextrose 25%; 
(xv) Diphenhydramine Injectable; and 
(xvi) Isoetharine (by inhalation). 

(3) When transporting a patient from one medical 
facility to another who is receiving intravenous 
therapy begun at the transferring facility, and 
where the capability of continuous two-way voice 
communication is maintained with a physician, 
physician or approved MICN or MDA located in 
the sponsor hospital, or when meeting the re- 
quirements of Rule . 1003 of this Subchapter and 
upon order of such physician or MICN, EMT- 
AIs may maintain intravenous lines for the 
following medications: 

(a) Whole Blood and Components; and 

(b) Potassium Chloride. 

(4) When in the presence of an EMT-P, perform 
any act listed in this Rule upon direction of the 



EMT-P as defined by the patient care protocols 
of the ALS program and approved by the Office 
of Emergency Medical Services. 

History Note: Authority G.S. 143-514; 

Eff. October 1, 1985; 

Amended Eff. August 1_, 1996; April 1, 1993; October 1, 

1991; October 1, 1990; March 1, 1990. 

.0409 MEDICAL DIRECTION ASSISTANT 
PERFORMANCE 

MDAs currently approved by the North Carolina 
Medical Board, while functioning under the direction of a 
physician in the sponsor hospital of an approved ALS 
program, may direct ALS professionals to perform actions 
as defined in the adopted patient care protocols established 
by the sponsor hospital for that ALS program. All orders 
issued to ALS professionals by MDAs shall be co-signed 
by a physician. 

History Note: Authority G. S. 143-514; 
Eff. August 1. 1996. 

SECTION .0500 - CERTIFICATION AND 

APPROVAL REQUIREMENTS FOR ADVANCED 

LIFE SUPPORT PERSONNEL 

.0501 CERTD7ICATION REQUIREMENTS: 
EMT-PARAMEDIC 

(a) To become certified as an EMT-P, a person shall 
meet the following criteria: 

(1) be currently certified as an emergency medical 
technician in the State of North Carolina; 

(2) be affiliated on a continuous basis with an ambu- 
lance provider that has been issued a permit by 
the Office of Emergency Medical Services and 
functions as part of an approved ALS program; 

(3) successfully complete, within one year of appli- 
cation, an EMT-P educational program meeting 
the requirements of the "North Carolina EMT-P 
Curriculum Outline" dated November 1990. 
1990 incorporat e d h e r e in by r e f e r e nc e including 
subs e qu e nt am e ndm e nts and e ditions. If the 
educational program was completed over one 
year prior to application, a person muflt shall 
submit evidence of completion of pertinent 
continuing education in emergency medicine 
taken in the past year and have the continuing 
education approved by the Office of Emergency 
Medical Services; 

(4) successfully complete a performance evaluation 
conducted under the direction of the medical 
director of the ALS program assessing his ability 
to perform the skills and procedures specified in 
Rule .0402 of this Subchapter; 

(5) be recommended for certification upon examina- 
tion by an oral interview panel established by the 



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229 



APPROVED RULES 



ALS program in which he is proposing to func- 
tion; 

(6) pass a basic life support practical examination 
approved or administered by the Office of Emer- 
gency Medical Services; and 

(7) pass the EMT-P written examination adminis- 
tered by the Office of Emergency Medical 
Services. 

(b) Persons holding current certification as an EMT-P 
with the National Registry of Emergency Medical Techni- 
cians or in another state where the educational and certifi- 
cation requirements have been approved for legal recogni- 
tion by the Office of Emergency Medical Services may 
become certified by: 

(1) presenting evidence of such certification for 
verification by the Office of Emergency Medical 
Services; and 

(2) meeting the criteria specified in Subparagraphs 
(a)(1), (a)(2), (a)(4), and (a)(5) of this Rule. 

(c) Certification obtained through legal recognition shall 
be valid for four years or the unexpired term of the 
certification that was used to obtain a certification in this 
state, whichever is shorter. All certifications shall be valid 
for the period stated on the certificate issued to the appli- 
cant. This period shall not exceed four years. Persons 
must shall be recertified by presenting documentation to the 
Office of Emergency Medical Services that they have 
successfully completed either of the following options: 

(1) OPTION I: 

(A) f44 an ongoing continuing education program 
under the direction of the medical direc- 
tor, meeting the requirements of "Guide- 
lines for Continuing Education and Perfor- 
mance Evaluation of Emergency Medical 
Services Advanced Life Support Person- 
nel" dated February 1988; 1988 incorpo 
rated heroin by referenc e including subso 
qu e nt am e ndm e nts and e ditions; 

(B)f3r) an ALS performance evaluation conducted 
under the direction of the medicaJ director 
meeting the requirements of "Guidelines 
for Continuing Education and Perfor- 
mance Evaluation of Emergency Medical 
Services Advanced Life Support Person- 
nel" dated February 1988 incorporated 
h e r e in by r e f e r e nc e including subs e qu e nt 
am e ndm e nts and e ditions assessing the 
ability to perform the skills specified in 
Rule .0402 of this Subchapter; and 

(C)(34 basic life support practical and EMT-P 
written examinations administered by the 
Office of Emergency Medical Services; or 
12) OPTION II: 

(A) f4-) the criteria specified in Subparagraph 
&m (c)(1)(A) and (e)(3) (c)(1)(B) ef 
OPTION I of this Rule; 

(B)f3) at least one basic life support skills evalu- 



ation following guidelines established by 
the Office of Emergency Medical Services 
conducted under the direction of the medi- 
cal director assessing the ability to per- 
form the skills required of an emergency 
medical technician as specified by the 
North Carolina Medical Care Commis- 
sion; and 
(C)f34 at least one EMT-P written examination 
following guidelines established by the 
Office of Emergency Medical Services 
administered under the direction of the 
medical director in compliance with the 
test specifications of the state EMT-P 
written examination. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August L 1996: April 1, 1993; May 1, 1989; 

May 1, 1988; October 1, 1985. 

.0502 CERTIFICATION REQUIREMENTS: 
EMT-ENTERMEDIATE 

(a) To become certified as an EMT-I a person must 
shall meet the following criteria: 

(1) be currently certified as an emergency medical 
technician in the State of North Carolina; 

(2) be affiliated on a continuous basis with an ambu- 
lance provider that has been issued a permit by 
the Office of Emergency Medical Services and 
functions as part of an approved ALS program; 

(3) successfully complete, within one year of appli- 
cation, an EMTT educational program meeting 
the requirements of the "North Carolina EMT-I 
Curriculum Outline" dated November 1990. 
1990 incorporated heroin by roforonco including 
subsequent amendments and editions. If the 
educational program was completed over one 
year prior to application, a person must shall 
submit evidence of completion of pertinent 
continuing education in emergency medicine 
taken in the past year and have the continuing 
education approved by the Office of Emergency 
Medical Services; 

(4) successfully complete a performance evaluation 
conducted under the direction of the medical 
director of the ALS program assessing his ability 
to perform the skills and procedures specified in 
Rule .0403 of this Subchapter; 

(5) be recommended for certification upon examina- 
tion by an oral interview panel established by the 
ALS program in which he is proposing to func- 
tion; 

(6) pass a basic life support practical examination 
approved or administered by the Office of Emer- 
gency Medical Services; and 

(7) pass the EMT-I written examination administered 



230 



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May 15, 1996 



11:4 



APPROVED RULES 



by the Office of Emergency Medical Services. 

(b) Persons holding current certification as an EMT-I 
with the National Registry of Emergency Medical Techni- 
cians or in another state where the educational and certifi- 
cation requirements have been approved for legal recogni- 
tion by the Office of Emergency Medical Services may 
become certified by: 

(1) presenting evidence of such certification for 
verification by the Office of Emergency Medical 
Services; and 

(2) meeting the criteria specified in Subparagraphs 
(a)(1), (a)(2), (a)(4), and (a)(5) of this Rule. 

(c) Certification obtained through legal recognition shall 
be valid for four years or the unexpired term of the 
certification that was used to obtain a certification in this 
state, whichever is shorter. All certifications shall be valid 
for the period stated on the certification issued to the 
applicant. This period shall not exceed four years. 
Persons swst shall be recertified by presenting documenta- 
tion to the Office of Emergency Medical Services that they 
have successfully completed either of the following op- 
tions: 

(1) OPTION I: 

(A)fB an ongoing continuing education program 
under the direction of the medical direc- 
tor, meeting the requirements of "Guide- 
lines for Continuing Education and Perfor- 
mance Evaluation of Emergency Medical 
Services Advanced Life Support Person- 
nel" dated February 1988; 19 88 inoorpo 
rated her e in by ref e r e no e including subs e 
quont amendments and ed i tions; 

(B)(3) an ALS performance evaluation conducted 
under the direction of the medical director 
meeting the requirements of "Guidelines 
for Continuing Education and Perfor- 
mance Evaluation of Emergency Medical 
Services Advanced Life Support Person- 
nel" dated February 1988 incorporat e d 
horoin by reference including subsequent 
amendments and oditiona assessing the 
ability to perform the skills specified in 
Rule .0403 of this Subchapter; and 

(C)f£) basic life support practical and EMT-I 
written examinations administered by the 
Office of Emergency Medical Services; or 
£2) OPTION II: 

(A)fB the criteria specified in Subparagraph 
(e#4) (c)(1)(A) and (e)<3> (c)(1)(B) ef 
OPTION I of this Rule; 

(B)(3) at least one basic life support skills evalu- 
ation following guidelines established by 
the Office of Emergency Medical Services 
conducted under the direction of the medi- 
cal director assessing the ability to per- 
form the skills required of an emergency 
medical technician as specified by the 



North Carolina Medical Care Commis- 
sion; and 
(C)(3) at least one EMT-I written examination 
following guidelines established by the 
Office of Emergency Medical Services 
administered under the direction of the 
medical director in compliance with the 
test specifications of the state EMT-I 
written examination. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August L 1996; April 1, 1993; May 1, 1989; 

May 1, 1988; October 1, 1985. 

.0504 CERTIFICATION REQUIREMENTS: 
EMT-ADVANCED INTERMEDIATE 

(a) To become certified as an EMT-AI a person must 
shall meet the following criteria: 

(1) be currently certified as an emergency medical 
technician in the State of North Carolina; 

(2) be affiliated on a continuous basis with an ambu- 
lance provider that has been issued a permit by 
the Office of Emergency Medical Services and 
functions as part of an approved ALS program; 

(3) successfully complete, within one year of appli- 
cation, an EMT-AI educational program meeting 
the requirements of the "North Carolina EMT-AI 
Curriculum Outline" dated November 1990. 
1990 incorporat e d h e r e in by reference including 
oubooquent amendm e nts and e ditiono. If the 
educational program was completed over one 
year prior to application, a person must shall 
submit evidence of completion of pertinent 
continuing education in emergency medicine 
taken in the past year and have the continuing 
education approved by the Office of Emergency 
Medical Services; 

(4) successfully complete a performance evaluation 
conducted under the direction of the medical 
director of the ALS program assessing his ability 
to perform the skills and procedures specified in 
Rule .0406 of this Subchapter; 

(5) be recommended for certification upon examina- 
tion by an oral interview panel established by the 
ALS program in which he is proposing to func- 
tion; 

(6) pass a basic life support practical examination 
approved or administered by the Office of Emer- 
gency Medical Services; and 

(7) pass the EMT-AI written examination adminis- 
tered by the Office of Emergency Medical 
Services. 

(b) Persons holding current certification equivalent to an 
EMT-AI with the National Registry of Emergency Medical 
Technicians or in another state where the educational and 
certification requirements have been approved for legal 



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May 15, 1996 



231 



APPROVED RULES 



recognition by the Office of Emergency Medical Services 
may become certified by: 

(1) presenting evidence of such certification for 
verification by the Office of Emergency Medical 
Services; and 

(2) meeting the criteria specified in Subparagraphs 
(a)(1), (a)(2), (a)(4), and (a)(5) of this Rule. 

(c) Certification obtained through legal recognition shall 
be valid for four years or the unexpired term of the 
certification that was used to obtain a certification in this 
state, whichever is shorter. All certifications shall be valid 
for the period stated on the certificate issued to the appli- 
cant. This period shall not exceed four years. Persons 
must shall be recertified by presenting documentation to the 
Office of Emergency Medical Services that they have 
successfully completed either of the following options: 
£TJ OPTION I: 

(A)f44 an ongoing continuing education program 
under the direction of the medical direc- 
tor, meeting the requirements of "Guide- 
lines for Continuing Education and Perfor- 
mance Evaluation of Emergency Medical 
Services Advanced Life Support Person- 
nel" dated February 1988; 198 8 incorpo 
mtod heroin by reference including subso 
quont am e ndm e nts and oditiono; 
(B)(3) an ALS performance evaluation conducted 
under the direction of the medical director 
meeting the requirements of "Guidelines 
for Continuing Education and Perfor- 
mance Evaluation of Emergency Medical 
Services Advanced Life Support Person- 
nel" dated February 1988 incorporated 
h e r e in by r e f e r e nc e including subsequent 
amendm e nts and e ditions assessing the 
ability to perform the skills specified in 
Rule .0406 of this Subchapter; and 
(C)(5) basic life support practical and EMT-AJ 
written examinations administered by the 
Office of Emergency Medical Services; or 
£2) OPTION II: 

(AK 4-) the criteria specified in Subparagraph 
(e)fl) (c)(1)(A) and (e)(3) (c)(1)(B) ef 
OPTION I of this Rule; 
(B)(3) at least one basic life support skills evalu- 
ation following guidelines established by 
the Office of Emergency Medical Services 
and conducted under the direction of the 
medical director assessing the ability to 
perform the skills required of an emer- 
gency medical technician as specified by 
the North Carolina Medical Care Commis- 
sion; and 
(C)(5) at least one EMT-AI written examination 
following guidelines established by the 
Office of Emergency Medical Services 
and administered under the direction of 



the medical director in compliance with 
the test specifications of the state EMT-AI 
written examination. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August L. 1996; April 1, 1993; May 1, 1989; 

May 1, 1988; October 1, 1985. 

.0505 CERTIFICATION REQUIREMENTS: 
EMT-DEFIBRILLATION 

(a) To become certified as an EMT-D a person mu s t 
shall meet the following criteria: 

(1) be currently certified as an emergency medical 
technician in the State of North Carolina; 

(2) be affiliated on a continuous basis with an ambu- 
lance provider that has been issued a permit by 
the Office of Emergency Medical Services, or an 
approved first responder organization which 
functions as part of an approved ALS program; 

(3) successfully complete, within one year of appli- 
cation, an EMT-D educational program meeting 
the requirements of the "North Carolina EMT-D 
Curriculum Outline" dated November 1990. 
1090 incorporated heroin by reference including 
subs e qu e nt am e ndm e nts and oditiono. If the 
educational program was completed over one 
year prior to application, a person must shall 
submit evidence of completion of pertinent 
continuing education in emergency medicine 
taken in the past year and have the continuing 
education approved by the Office of Emergency 
Medical Services; 

(4) successfully complete a performance evaluation 
conducted under the direction of the medical 
director of the ALS program assessing his ability 
to perform the skills and procedures specified in 
Rule .0407 of this Subchapter; 

(5) pass a basic life support practical examination 
approved or administered by the Office of Emer- 
gency Medical Services; and 

(6) pass the EMT-D written examination adminis- 
tered by the Office of Emergency Medical 
Services. 

(b) Persons holding current certification equivalent to 
EMT-D with the National Registry of Emergency Medical 
Technicians or in another state where the educational and 
certification requirements have been approved for legal 
recognition by the Office of Emergency Medical Services 
may become certified by: 

(1) presenting evidence of such certification for 
verification by the Office of Emergency Medical 
Services; and 

(2) meeting the criteria specified in Subparagraphs 
(a)(1), (a)(2), (a)(4), and (a)(5) of this Rule. 

(c) Certification obtained through legal recognition shall 
be valid for four years or the unexpired term of the 



232 



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May 15, 1996 



11:4 



APPROVED RULES 



certification that was used to obtain a certification in this 
state, whichever is shorter. All certifications shall be valid 
for the period stated on the certificate issued to the appli- 
cant. This period shall not exceed four years. Persons 
Hwst shall be recertified by presenting documentation to the 
Office of Emergency Medical Services that they have 
successfully completed either of the following options: 
£1} OPTION I: 

(A) (4-) an ongoing continuing education program 
under the direction of the medical direc- 
tor, meeting the requirements of "Guide- 
lines for Continuing Education and Perfor- 
mance Evaluation of Emergency Medical 
Services Advanced Life Support Person- 
nel" dated February 1988; 19 88 inoorpo 
rated heroin by reference including subso 
quont amendments and editions; 
(B)(3) an ALS performance evaluation conducted 
under the direction of the medical director 
meeting the requirements of "Guidelines 
for Continuing Education and Perfor- 
mance Evaluation of Emergency Medical 
Services Advanced Life Support Person- 
nel" dated February 1988 incorporated 
heroin by reference including subsequent 
am e ndm e nts and e ditions assessing the 
ability to perform the skills specified in 
Rule .0407 of this Subchapter; and 
(C) (3) basic life support practical and EMT-D 
written examinations administered by the 
Office of Emergency Medical Services; or 
£2} OPTION II: 

(A) f4-) the criteria specified in Subparagraph 
frXD (c)(1)(A) and (e)(3) (c)(1)(B) ef 
OPTION I of this Rule; 
(B)(3) at least one basic life support skills evalu- 
ation following guidelines established by 
the Office of Emergency Medical Services 
and conducted under the direction of the 
medical director assessing the ability to 
perform the skills required of an emer- 
gency medical technician as specified by 
the North Carolina Medical Care Commis- 
sion; and 
(C) (3) at least one EMT-D written examination 
following guidelines established by the 
Office of Emergency Medical Services 
and administered under the direction of 
the medical director in compliance with 
the test specifications of the state EMT-D 
written examination. 

History Note: Authority G.S. 143-514; 

Eff. May 1, 1988; 

Amended Eff. August L 1996; April 1, 1993; May 1, 1989. 

0506 CERTIFICATION REQUIREMENTS: 



EMERGENCY MEDICAL DISPATCHER 

(a) To become certified as an EMD, a person mu s t shall 
meet the following criteria: 

(1) be at least 18 years of age; 

(2) be affiliated on a continuous basis with an emer- 
gency medical dispatch program approved by the 
Office of Emergency Medical Services; 

(3) successfully complete, within one year prior to 
application, an American Heart Association 
(AHA) Level "C" cardiopulmonary resuscitation 
(CPR) course or equivalent; 

(4) successfully complete, within one year prior to 
application, an approved EMD educational 
program meeting the requirements of the "Guide- 
lines for Development and Operation of Emer- 
gency Medical Dispatch Programs" dated March 
1995. 1995 incorporated herein by reference 
e ditions. If the educational program was com- 
pleted over one year prior to application, a 
person must shall submit evidence of completion 
of pertinent continuing education in emergency 
medical dispatch taken in the past year and have 
the continuing education approved by the Office 
of Emergency Medical Services; 

(5) successfully complete an evaluation conducted 
under the direction of the medical director of the 
EMD program assessing the ability to perform 
the skills and procedures specified in Rule .0408 
of this Subchapter; and be recommended for 
certification examination. 

(6) pass the EMD written examination administered 
or approved by the Office of Emergency Medical 
Services. 

(b) Persons holding current certification equivalent to 
EMD where the educational and certification requirements 
have been approved for legal recognition by the Office of 
Emergency Medical Services may become certified by: 

(1) presenting evidence of such certification for 
verification by the Office of Emergency Medical 
Services; and 

(2) meeting the criteria specified in Subparagraphs 
(a)(1), (a)(2), (a)(3), and (a)(5) of this Rule. 

(c) Certification obtained through legal recognition shall 
be valid for four years or the unexpired term of the 
certification that was used to obtain a certification in this 
state, whichever is shorter. All certifications shall be valid 
for the period stated on the certificate issued to the appli- 
cant by the Office of Emergency Medical Services. This 
period shall not exceed four years. Persons mu s t shall be 
recertified by presenting documentation to the Office of 
Emergency Medical Services that they have successfully 
completed either of the following options: 

£1} OPTION I: 

(A)(4) an ongoing continuing education program 
under the direction of the medical direc- 
tor, meeting the requirements of "Guide- 
lines for Development and Operation of 



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May IS, 1996 



233 



APPROVED RULES 



Emergency Medical Dispatch Programs" 
dated March 1995; 1995 — incorporat e d 
h e r e in by r e f e r e no e e ditions). 

(B)f£) an EMD performance evaluation con- 
ducted under the direction of the medical 
director meeting the requirements of 
"Guidelines for Development and Opera- 
tion of Emergency Medical Dispatch 
Programs" dated March 1995 incorporated 
heroin by ref e r e no e assessing the ability to 
perform the skills specified in Rule .0408 
of this Subchapter; and 

(C)Q) an EMD written examination administered 
by the Office of Emergency Medical 
Services; or 
(2J OPTION II: 

(A) f4-) the criteria specified in Subparagraph 
WW (c)(1)(A) and (e)(3) (c)(1)(B) ef 
OPTION I of this Rule; and 

(B)f2-> a written examination following guidelines 
established by the Office of Emergency 
Medical Services and administered under 
the direction of the medical director in 
compliance with the test specifications of 
the state EMD written examination. 

History Note: Authority G.S. 143-514; 

Eff. July 1, 1996; 

Amended Eff. August 1, 1996. 

.0507 APPROVAL REQUIREMENTS: 

MEDICAL DIRECTION ASSISTANT 

[a] To be approved as a MDA, a person shall meet the 
following criteria: 

(1) be currently approved and registered as a physi- 
cian assistant or nurse practitioner in the State of 
North Carolina ; 

(2) be affiliated on a continuous basis with a sponsor 
hospital which is part of an approved ALS 
program; 

(3) have a minimum of two years emergency or 
critical care experience, or a combination of this 
experience; 

(4) present evidence of successful completion of a 
MDA educational program meeting the require- 
ments of the "North Carolina MDA Curriculum 
Outline" dated November 1995. If the educa- 
tional program was completed over one year 
prior to application, a person shall submit evi- 
dence of completion of pertinent continuing 
education in emergency medicine taken in the 
past year and have the continuing education 
approved by the Office of Emergency Medical 
Services; and 

(5) be recommended by the medical director of the 
ALS program after determining that the appli- 
cant is adequately familiar with the patient care 



and operational protocols of the ALS program, 
(b) Approval shall be valid for a period not to exceed 
four years at which time the person may be reapproved by 
successfully completing an approved MDA reapproval 
program under the direction of the medical director, 
meeting the requirements of "Guidelines for Reapproval of 
Medical Direction Assistants" dated November 1995. 

History Note: Authority G.S. 143-514; 
Eff. August 1, 1996. 

SECTION .0600 - ENFORCEMENT 

.0601 GROUNDS FOR DENIAL, SUSPENSION, 
OR REVOCATION 

(a) The Board of Medical Examiners North Carolina 
Medical Board may deny, suspend or revoke the approval 
of an ALS program program, EMD program or sponsor 
hospital for any of the following reasons: 

(1) failure to comply with the requirements as found 
in Sections .0200 and .0300 of this Subchapter; 
or 

(2) obtaining approval through fraud or misrepresen- 
tation. 

(b) The Board of Medical Examiners North Carolina 



Medical Board may deny, suspend or revoke the certifica- 
tion of an ALS professional or the approval of a MICN or 
MDA for any of the following reasons: 

(1) failure to comply with the applicable perfor- 
mance and certification and approval require- 
ments as found in th e s e Rul e s; this Subchapter; 

(2) immoral or dishonorable conduct; 

(3) making false statements or representations to the 
Board of M e dical — Examin e rs North Carolina 
Medical Board or the Office of Emergency 
Medical Services or willfully concealing of 
material information in connection with an 
application for certification or approval. 

(4) being unable to perform as an ALS professional, 
Professional or MICN or MDA with reasonable 
skill and safety to patients and the public by 
reason of illness, drunkenness, excessive use of 
alcohol, drugs, chemicals, or any other type of 
material or by reason of any physical or mental 
abnormality; 

(5) unprofessional conduct, including but not limited 
to a failure to comply with the rules relating to 
the proper function of an ALS professional, 
Professional or MICN or MDA contained in this 
Subchapter or the performance of or attempt to 
perform a procedure which is detrimental to the 
health and safety of a patient or which is beyond 
the scope and responsibility of the ALS profes 



sional, Prof e ssional or MICN; MICN or MDA 

(6) conviction in any court of a crime involving 

moral turpitude, a conviction of a felony, or 

conviction of a crime involving the function of 



234 



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May 15, 1996 



11:4 



APPROVED RULES 



an ALS professional. Professional or MICN; 
MICN or MDA; 

(7) by false representations obtaining or attempting 
to obtain money or anything of value from a 
patient; 

(8) adjudication of mental incompetence; 

(9) lack of professional competence to practice with 
a reasonable degree of skill and safety for pa- 
tients including but not limited to a failure to 
perform a prescribed procedure, failure to 
perform a prescribed procedure competently or 
performance of a procedure which is not within 
the scope of official duties of the ALS profes- 
sional , Prof e soional or MICN; MICN or MDA; 

(10) failure to respond within a reasonable period of 
time and in a reasonable manner to inquiries 
from the Board of Medical Examiners North 
Carolina Medical Board or the Office of Emer- 
gency Medical Services concerning any matter 
relating to the practice of an ALS professional, 
Professional or MICN; MICN or MDA; 

(11) testing positive for substance abuse by blood, 
urine or breath testing while on duty as an ALS 
professional. Professional or MICN; MICN or 
MDA; or 

(12) representing or allowing others to represent that 
the ALS professional, Profeooional or MICN or 
MDA is a physician or otherwise has a certifica- 
tion or approval that the ALS professional. 
Prof e ssional or MICN or MDA does not in fact 
have. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August ]_, 1996; September 1, 1995; April 1, 

1993; May 1, 1989; May 1, 1988. 

SECTION .0700 - EXCEPTIONS 

.0701 CONDITIONS 

Upon application of interested citizens in North Carolina, 
the Board of M e dical Examin e rs North Carolina Medical 
Board is authoriz e d to and r e s e rve s th e right to may 
approve the furnishing and providing of ALS programs in 
North Carolina by persons who have been approved to 
provide these services by an agency of a state or federal 
jurisdiction adjoining North Carolina. This approval may 
be granted where the Board of Medical Examiners North 
Carolina Medical Board finds and concludes that the 



requirements enumerated in Rule .0201 of this Subchapter 
for ALS programs cannot be reasonably obtained by reason 
of lack of geographical access. 

History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August L 1996; April 1, 1993; May 1, 1989; 

May 1, 1988. 



SECTION .0800 - FORMS 

.0801 REQUIRED FORMS AND DOCUMENTS 

(a) The following forms are required for certification or 
approval: 

(1) Certification Application Form; 

(2) ALS Personnel Verification Form; 

(b) The following documents are required for educa- 
tional and evaluation programs and roforoncod in the Rules: 
incorporated herein by reference including subsequent 
amendments and editions. Copies of these documents are 
available free of charge from the Office of Emergency 
Medical Services, PO Box 29530, Raleigh, NC 27626- 
0530: 

"North Carolina EMT-P Curriculum Outlin e "; 
Outline" dated November 1990; 
"North Carolina EMT-AI Curriculum Outline"; 
Outline" dated November 1990; 



(1) 
(2) 
(3) 

(4) 
(5) 
(6) 

(7) 
(8) 

m 

(10) 
LLU 



"North Carolina EMT-I Curriculum Outlin e "; 
Outline" dated November 1990; 
"North Carolina EMT-D Curriculum Outline"; 
Outline" dated November 1990; 
"North Carolina MICN Curriculum Outlin e "; 
Outline" dated November 1990; 
"Guidelines for Continuing Education and Per- 
formance Evaluation of Emergency Medical 
Services Advanced Life Support P e rsonn e l"; 
Personnel" dated February 1988; 
"Guidelines for Reapproval of Mobile Intensive 
Care Nurs e s"; and Nurses" dated November 
1993; 

"Guidelines for the Selection and Performance of 
the Emergency Medical Services Nurse Liaison". 
Liaison" dated October 1990; 
"Guidelines for Development and Operation of 
Emergency Medical Dispatch Programs. Pro- 
grams" dated March 1995; 
"North Carolina MDA Curriculum Outline" 
dated November 1995; and 
"Guidelines for Reapproval of Medical Direction 
Assistants" dated November 1995. 



History Note: Authority G.S. 143-514; 

Eff. October 31, 1980; 

Amended Eff. August ]_, 1996; July 1, 1996; April 1, 1993; 

May 1, 1989; May 1, 1988. 

SECTION .0900 - STUDY PROJECTS 

.0901 CONDITIONS 

(a) Persons proposing to undertake a study project shall 
have a project director who is a physician licensed to 
practice medicine in the State of North Carolina and shall 
submit a written proposal to the Office of Emergency 
Medical Services for presentation to the Board of M e d i cal 
Examiners North Carolina Medical Board . The proposal 
mu s t shall include the following: 



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235 



APPROVED RULES 



( 1 ) a description of the purpose of the project, an 
explanation of the proposed project, the method- 
ology to be used in implementing the project, 
and the geographical area to be covered by the 
proposed project; 

(2) a list of the ALS programs, ambulance provid- 
ers, and hospitals participating in the project; 

(3) a signed statement of endorsement from the 
medical director of each participating ALS 
program, the chief executive officer of each 
participating hospital, and the director of each 
participating ambulance provider; 

(4) a description of the skills to be utilized by the 
ALS professionals if different from those speci- 
fied in this Subchapter, the provisions for train- 
ing and supervising the personnel who are to 
utilize these skills and the names of such person- 
nel; and 

(5) the name and signature of the project director 
attesting to his approval of the proposal. 

(b) The hospitals and ambulance providers participating 
in the project must shall be a part of an approved ALS 
program. 

(c) The time period for the project shall not exceed 
three years. 

History Note: Authority G.S. 143-514; 

Eff. February 1, 1982; 

Amended Eff. August L 1996; April 1, 1993; May 1, 1989; 

May 1, 1988; October 1, 1985. 



CHAPTER 54 - BOARD OF PRACTICING 
PSYCHOLOGISTS 

SECTION .2700 - HEALTH SERVICES PROVIDER 
CERTIFICATION 

.2704 HSP-P REQUIREMENTS 

(a) To be certified as a health services provider psychol- 
ogist (HSP-P), a licensed psychologist holding permanent 
North Carolina licensure shall be qualified by education as 
defined in Paragraph (h) of this Rule and shall have 
completed two years of supervised experience, of which at 
least one year shall be post-doctoral. These two years of 
experience shall meet the criteria specified in Paragraphs 
(c) and (d) of this Rule, or in Paragraph (e) of this Rule. 
An applicant shall submit a completed, notarized applica- 
tion form and provide documentation of meeting health 
services provider requirements. 

(b) An applicant shall demonstrate that he/she is 
qualified by education to provide health services by 
meeting one of the following criteria: 

(1) is currently approved for listing, or is currently 
listed, in the National Register of Health Service 
Providers in Psychology; 

(2) is a diplomate in good standing of the American 



Board of Professional Psychology in Clinical 
Psychology, Counseling Psychology, or School 
Psychology; 

(3) is a graduate from a doctoral program which was 
accredited at the time of the applicant's gradua- 
tion by the American Psychological Association 
in Clinical Psychology, Counseling Psychology, 
School Psychology, or Combined 
Professional-Scientific Psychology; or 

(4) has an academic foundation in the provision of 
health services as defined in Rule .2701(a) of 
this Section. 

(c) Except as provided in Paragraph (e) of this Rule, an 
applicant shall demonstrate one year of supervised experi- 
ence which meets the following requirements for an 
organized health services training program: 

(1) The training shall be a planned and directed 
program in the provision of health services, in 
contrast to "on the job" training, and shall 
provide the trainee with a planned, programmed 
sequence of training experience. 

(2) The training site shall have a written statement 
or brochure which describes its training program 
and is made available to prospective trainees. 

(3) Trainees shall be designated as "interns," fel- 
lows," or "residents," or hold other designation 
which clearly indicates training status. 

(4) The training shall be completed within 24 
months. 

(5) The training shall consist of at least 1500 hours 
of practice. 

(6) At least 25% of the training shall be spent in the 
provision of direct health services, as defined in 
Rule .2701(a) of this Section, to patients or 
clients seeking assessment or treatment. 

(7) Up to 25% of the training may be comprised of 
research activities. 

(8) There shall be a minimum of two doctorally 
trained licensed, certified, or license eligible 
psychologists at the training site as supervisors 
who have ongoing contact with the trainee. 

(9) The training shall be under the direction of a 
licensed, certified, or license eligible doctorally 
trained psychologist who is on the staff of the 
training site, who approves and monitors the 
training, who is familiar with the training site's 
purposes and functions, who has ongoing contact 
with the trainee, and who agrees to assume 
responsibility for the quality, suitability, and 
implementation of the training experience. 

(10) The training shall provide a minimum of two 
hours per week of individual face-to-face discus- 
sion of the trainee's practice, with the specific 
intent of overseeing the health services rendered 
by the trainee. Supervision may be provided in 
part by psychiatrists, social workers, or other 
mental health professionals qualified by the 



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training site, but at least 50% of supervision 
shall be provided by licensed, certified, or 
license-eligible doctorally trained psychologists. 
(11) In additional to individual supervision, the 
training site shall provide a minimum of two 
hours per week of instruction which may be met 
by group supervision, assigned reading, semi- 
nars, and similarly constituted organized training 
experiences. 
This specified year of supervised experience may be 
obtained at a predoctoral level, provided that an additional 
year of supervised experience as defined in Paragraph (d) 
of this Rule is obtained at a post-doctoral level. Intern- 
ships accepted for listing in the National Register of Health 
Service Providers in Psychology and internships accredited 
by the American Psychological Association in Clinical 
Psychology, Counseling Psychology, or School Psychology 
shall be deemed to meet the requirements in this Para- 
graph. 

(d) An applicant shall demonstrate one year of super- 
vised experience which meets the following requirements: 

(1) The experience shall consist of a minimum of 
one calendar year and include 1500 hours of 
supervised experience. 

(2) The experience shall be completed within a 
consecutive four-year period. 

(3) The supervision shall be for the direct provision 
of health services in psychology, as defined in 
Rule .2701(a) of this Section, by the applicant to 
individuals or groups of clients/patients. 

(4) At least one hour per week of formal, 
face-to-face, individual supervision shall have 
been provided, except that individual supervision 
provided up until January 1, 1996, may have 
been provided in two, two-hour sessions per 
month. 

(5) The supervisor shall have been an appropriately 
licensed or certified psychologist, whose license 
or certificate was in good standing, in the state 
where the practice occurred. 

(6) The supervisor, at the time of supervision, shall 
not have been in a dual relationship with the 
supervisee, e.g., spouse, other close relative, 
close personal friend, or therapist. 

This specified year of supervised experience may be 
obtained at a predoctoral level, provided that an additional 
year of supervised experience as defined in Paragraph (c) 
of this Rule is obtained at a post-doctoral level. 

(e) An applicant who holds a provisional license as a 
Licensed Psychologist in North Carolina on the effective 
date of this Rule shall not be required to have had one year 
of supervised experience which meets the requirements of 
an organized health services training program as specified 
in Paragraph (c) of this Rule, but shall have completed two 
years of supervised experience, of which at least one year 
shall be post-doctoral, as defined in Paragraph (d) of this 
Rule. 



(0 An applicant who documents that he/she meets any 
one of the following criteria shall be deemed to meet all 
requirements of this Rule for certification as a health 
services provider psychologist (HSP-P): 

(1) is currently approved for listing, or is currently 
listed, in the National Register of Health Service 
Providers in Psychology; 

(2) is a diplomate in good standing of the American 
Board of Professional Psychology in Clinical 
Psychology, Counseling Psychology, or School 
Psychology; 

(3) is a graduate from a doctoral program which was 
accredited at the time of the applicant's gradua- 
tion by the American Psychological Association 
in Clinical Psychology, Counseling Psychology, 
School Psychology, or Combined 
Professional-Scientific Psychology and which 
included an internship accredited by the Ameri- 
can Psychological Association, and who com- 
pletes a postdoctoral year of supervised experi- 
ence as defined in either Paragraph (c) or (d) of 
this Rule; 

(4) if applying before January 1, 2001, is a graduate 
from a doctoral program which was fully accred- 
ited at the time of the applicant's graduation by 
the American Psychological Association in 
School Psychology and which included an intern- 
ship meeting the guidelines of the Council of 
Directors of School Psychology Programs as 
documented by the program chair, and who 
completes a postdoctoral year of supervised 
experience as defined in either Paragraph (c) or 
(d) of this Rule; or 

(5) is a graduate who received a doctoral degree 
prior to 1979 from a program which included 
course work which demonstrates an academic 
foundation in the provision of health services as 
defined in Rule .2701(a) of this Section, and 
which included the equivalent of a one year 
supervised internship in an American Psychologi- 
cal Association accredited program providing 
health services, in a Veterans Administration 
setting providing health services, or at a site 
providing health services which was specifically 
acceptable to the applicant's doctoral training 
program, and who completes a postdoctoral year 
of supervised experience as defined in either 
Paragraph (c) or (d) of this Rule; or 

(6) is approved for licensure under senior psycholo- 
gist requirements specified in 21 NCAC 54 
.1707 and demonstrates that at least 25% of 
his/her qualifying practice has been in the provi- 
sion of direct health services, as defined in Rule 
.2101(a) .2701(a) of this Section. 

(g) An applicant applying under Subparagraph (f)(1) of 
this Rule, and who has not yet been approved for listing in 
the National Register of Health Service Providers in 



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237 



APPROVED RITES 



Psychology, shall be permitted to file an affidavit verifying 
that he 'she qualifies for listing in the Register. Upon 
receipt of this affidavit, the Board may issue a health 
services provider certificate, conditioned upon receipt of a 
letter from the Register within 60 days of receipt of the 
affidavit which confirms approval for, or listing in, the 
Register. An extension of the 60 days may be granted 
upon showing that additional time is needed for application 
review by the National Register of Health Service Provid- 
ers. 

(h) An applicant for health services provider certifica- 
tion who knowingly provides false or fraudulent informa- 
tion to the Board with respect to his/her application, or 
who fails to provide the notification from the National 
Register of Health Service Providers in Psychology where 
required, shall be subject to disciplinary action by the 
Board, including revocation of licensure and the health 
services provider certificate. 

Histon, Note: Temporary Adoption Eff. December 19, 

1994; 

Authority G.S. 90-270.9: 90-270. 15 (a)(3) ; 

90-270. 15(a)(22); 90-270. 20(b); 

RRC Objection due to lack of statutory authority Eff. May 

18. 1995: 

Eff. June 21, 1995; 

Amended Eff. August L 1226: January 1, 1996. 

.2706 HSP-PA REQUIREMENTS 

(a) To be certified as a health services provider psychol- 
ogist psychological associate (HSP-PA). a North Carolina 
licensed psychological associate shall be qualified by 
education. An applicant shall submit a completed, nota- 
rized application form and provide documentation of 
meeting health services provider requirements. 

(d) .An applicant shall demonstrate that he/she holds a 
master's, specialist, or doctoral degree which provides an 
academic foundation in the provision of health services as 
defined in Rule .2701(a) of this Section. Psychological 
Associates who receive their degrees during or after 1997 
shall document that their degree program included an 
internship, externship, or practicum at a site providing 
health services which meets ail the following criteria: 

(1) The internship, externship, or practicum shall 
have been in a planned and directed program of 
training in health services, in contrast to 
on-the-job training, and shall have provided the 
trainee with a planned and directed sequence of 
training integrated w ith the educational program 
in which the individual was enrolled. 

(2) The internship, externship. or practicum site 
shall have had a clearly designated and appropri- 
ately licensed psychologist who was responsible 
for the integrity and quality of the training 
program. 

(3) Typically, the internship, externship, or 
practicum shall have been comprised of the 



equivalent of at least one semester's training and 
shall have been a minimum of 12 weeks and 200 
hours of supervised training. 

(4) The internship, externship. or practicum shall 
have had a written program description detailing 
its functioning and shall have been approved by 
the applicant's training program prior to its 
occurrence. 

(5) The internship, externship. or practicum shall 
have provided a minimum of one hour per week 
of individual face-to-face, regularly scheduled 
supervision with the specific intent of overseeing 
the health services rendered by the trainee. 

(6) At least 50% of the training shall have been 
spent in the provision of direct health services to 
patients or clients seeking assessment of treat- 
ment, and shall have been comprised of a range 
of assessment and treatment interventions. 

(7) Supervision may have been provided in part by 
psychiatrists, social workers, or other mental 
health professionals qualified by the training site, 
but at least 50% of supervision shall have been 
provided by an appropriately licensed or certified 
psychologist or psychological associate, or other 
psychologist who is exempt from licensure under 
the North Carolina Psychology Practice Act. 

(8) Persons enrolled in the internship, externship or 
practicum shall have been designated as "interns, 
"externs". or "practicum students" or hold other 
designation which clearly indicated training 
status. 

(c) An applicant who is approved for licensure as a 
Psychological Associate under senior psychologist require 
ments specified in 21 NCAC 54 .1707 and demonstrates 
that at least 25% of his/her qualifying practice has been in 
the provision of direct health services, as defined in Rul 
.2101(a) .2701(a) of this Section, shall be deemed to meei 
all requirements of this Rule for certification as a healt 
services provider psychological associate (HSP-PA). 



History Note: Temporary Adoption Eff. December 19 

1994; 

Authority G.S. 90-270.9; 90-270. 13(c); 90-270.20(c); 

RRC Objection due to lack of statutory authority Eff. Ma 

18, 1995; 

Eff. June 21. 1995; 

Amended Eff. August i, 1996 ; January 1 , 1996. 



CHAPTER 68 - CERTIFICATION BOARD FOR 
SUBSTANCE ABUSE PROFESSIONALS 

SECTION .0100 - GENERAL 

.0101 DEFrNTTIONS 

(a) "Approved Supervisor" means a person who fulfil 
or is in the process of fulfilling the requirements for thi 



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11: 



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Board designation pursuant to Rule .0211 of this Chapter 
by completing its academic, didactic and experiential 
requirements. 

(b) "Assessment" means identifying and evaluating an 
individual's strengths, weaknesses, problems and needs for 
the development of treatment plan for alcohol and drug 
abuse. 

(c) "Board" means the North Carolina Substance Abuse 
Professionals Certification Board. 

(d) "Complainant" means a person who has filed a 
complaint pursuant to these rules. 

(e) "Consultation" means a meeting for discussion, 
decision-making and planning with other service providers 
for the purpose of providing substance abuse services. 

£fj "Crisis" means a decisive, crucial event in the course 
of treatment that threatens to, either directly or indirectly 
related to alcohol or drug use, compromise or destroy the 
r ehabilitation effort. 

(g) "Form" means an written instrument approved by 
the Board. 

(h) "Hearing Committee" means a committee comprised 
of three members of the Board appointed by the President 
to hear an appeal from the Ethics Committee. 

(i) "President" means the President of the North 
Carolina Substance Abuse Professionals Certification 
Board. 



(j) "Referral" means identifying the needs of an individ- 
ual that cannot be met by the counselor or agency and 
assisting the individual to utilize the support systems and 
sommunity resources available. 

(k) "Reprimand" means a formal written warning from 
[he Board to a person certified by the Board. 

0} "Respondent" means a person who is certified by the 
Board against whom a complaint has been filed. 

(m) "Substance Abuse Counseling Experience" means 
approved supervised experience that may be full-time or 



jart-time. paid or voluntary, and must include all of the 12 
:ore functions as appropriately documented by a job 
description and supervisor's evaluation. 

(n) "Supervised Practical Training" means supervision 
o teach the knowledge and skills related to substance abuse 
professionals at a ratio of one hour of supervision to every 
10 hours of practice for 300 practice hours. 

(o) "Suspension" means a time-limited loss of certifica- 
ion or the privilege of making application for certification 
wujto two years. 



e 



History Note: Authority G. S. 90- 1 13. 30; 90- 1 13. 33; 
iff. August 1, 1996. 

SECTION .0200 - CERTIFICATION 

0202 REGISTRATION PROCESS FOR BOARD 
CERTIFICATION 

(a) Individuals may register with the Board at the 
'eginning of their entry into the field. This allows the 
3oard to review the registrant's materials including 



education, training, experience and supervision contracts 
and provide the registrant with a clear understanding of his 
or her standing i_n the certification process. 

(b) Although early registration is not required, it will 
provide better direction through the process. To register, 
the applicant shall send the following to the Board: 

(1) Completed registration form provided by the 
Board; 

(2) Documentation of required high school gradua- 
tion or completion of GED, as well as documen- 
tation of any baccalaureate or advanced degree 
the applicant may have completed; 

(3) A signed supervision contract provided by the 
Boar d documenting the proposed supervision 
process by an approved supervisor; 

(4) A signed form attesting to the applicant's com- 
mitment to adhere to the ethical standards of the 
Board; and 

(5) A check or money order in the amount of one 
hundred dollars ($100.00) that is non-refundable 
and made payable to the Board. 

(c) Once the materials are determined by the Board to 
be in order the applicant shall be granted registration 
status. 

(d) If a registrant performs services as a counselor, in 
order for this experience to be considered toward certifica- 
tion at a later date, the registrant shall receive supervision 
from an approved supervisor at a ratio of one hour of 
supervision for every ten hours of practice. 

History Note: Authority G.S. 90-113.30; 90-113.33; 90- 
113.38; 90-113.39; 90-113.40; 
Etf. August 1. 1996. 

.0203 CERTIFICATION AS SUBSTANCE 
ABUSE COUNSELOR INTERN 

(a) An applicant may choose to by-pass early registra- 
tion at the entry level and seek designation as a Counselor 
Intern. 

(b) To be designated as a Substance Abuse Counselor 
Intern, a counselor shall submit and successfully complete 
the following: 

( 1) A registration form provided by the Board; 

(2) Documentation of high school graduation or 
completion of the GED, as well as any baccalau- 
reate or advanced degree the applicant may have 
completed. A transcript shall serve as the 
necessary documentation where appropriate; 

(3) A signed form attesting to the applicant's com- 
mitment to abide by the ethical standards of the 
Board; 

(4) A signed supervision contract provided by the 
Board documenting the continuing supervision 
process by a Board approved supervisor. 

(5) Documentation provided by the Board verifying 
the successful completion of 300 hours of Super- 
vised Practical Training. 



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239 



APPROVED RULES 



m 



Successful completion of the written examina- 
tion. 



Payment of a non-refundable, one hundred dollar 
($100.00) written exam fee plus a one hundred 
dollar ($100.00) registration fee if not already 
registered with the Board. 

(c) Upon the failure of an applicant to achieve a passing 
score, the applicant may request a retest and pay a non- 
refundable retest fee of one hundred dollars ($100.00) after 
the period of three months from the date of the test. 

(d) Once an individual has been designated as a Sub- 
stance Abuse Counselor Intern, he or she may function as 
a counselor under an approved supervisor at a ratio of one 
hour of supervision for every 40 hours of practice. 

History Note: Authority G.S. 90-113.30; 90-113.33; 90- 
113.34; 90-113.38; 90-113.39; 90-113.40; 90-113.41; 
Eff. August 1. 1996. 



(8) Those crisis intervention services which respond 
to an alcohol or other drug abuser's needs during 
acute emotional and physical distress; 



121 



(10) 



LL0 



Provision of client education information to 
individuals and groups describing alcohol and 
other dru g abuse and the available services and 
resources; 

Referring the client whose needs cannot be met 
by the counselor or agency to other support 
systems and community resources available; 
Charting the results of the assessment and treat- 



ment plan while writing reports, progress notes. 



discharge summaries and other client-related data 
necessary for the compilation of necessary 
reports and recordkeeping; 
(12) Consultation with substance abuse and other 
professionals to assure comprehensive, quality 
care for the client, 
(b) These 120 hours of supervised practice shall be 
divided into one hour of supervision for every ten hours of 



practice in each one of the twelve core functions. The 
remaining 180 hours of Supervised Practical Training must 
be in core function areas but may be distributed at the 
discretion of the supervisor. 

(c) Upon completion of the 300 hours, the supervisor 



.0204 SUPERVISED PRACTICAL TRAINING 
FOR SUBSTANCE ABUSE COUNSELOR 
CERTIFICATION 

(a) The process of supervision utilized to train the 
Substance Abuse Counselor shall be provided by an 
approved supervisor and cover all twelve core functions of 
the Substance Abuse Counselor. Verification of at least ten shall complete an evaluation form reviewing the Counselor 

hours of supervised practice must be made in each of the 
following core functions as follows: 

(1) Screening to determine a client is appropriate 
and eligible for admission to a particular pro- 
gram; 

(2) Intake to provide the administrative and initial 
assessment procedures for admission to a pro- 
gram; 



Intern's professional development and provide it to the 
Board, documenting the 300 hours of practice, including 30 
hours of supervision. 

(d) This training may be completed as an academic 



course of study in a fully accredited college or university 



or it may be developed in the work setting as long as it is 
appropriately supervised. The Supervised Practical 



(3) Orientation of the client to the general nature and 
goals of the program, rules governing client 
conduct, notice of the hours during which ser- 
vices are available, treatment costs to be borne 
by the client, if any, and client's rights; 

(4) An assessment to identify and evaluate an indi- 
vidual's strengths, weaknesses, problems and 
needs for the development of the treatment plan; 

(5) The treatment planning process whereby the 
counselor and client identify and rank problems 
needing resolution, establish agreed upon imme- 
diate and long term goals, and decide on a 
t reatment process and the resources to be uti- 
lized; 

(6) Counseling to assist individuals, families or 
groups in achieving objectives through explora- 
tion of a problem and its ramifications, examina- 
tion of attitudes and feelings, consideration of 
alternative solution, and decision making; 

(7) Case management activities which bring ser- 
vices, agencies, resources or people together 
within a planned framework of action toward the 
achievement of established goals; 



Training shall take place within a setting whose primary 
focus is the treatment of alcohol and drug abuse. 

History Note: Authority G.S. 90-113.30; 90-113.31; 90- 
113.33; 90-113.34; 90-113.39; 90-113.40; 
Eff. August 1, 1996. 

.0205 CERTIFIED SUBSTANCE ABUSE 
COUNSELOR CERTIFICATION 

Requirements for certification as a Certified Substance 
Abuse Counselor shall be as follows: 



IB 



Ql 



At least 6000 hours of paid or volunteer super- 
vised experience earned in not less than three 
years. 300 hours of which shall be supervised 
practice. If the work setting is not exclusively 
substance abuse focused, the applicant may 
accumulate experience proportional to the sub- 
stance abuse services performed; 
Board approved education and training of at least 
270 clock hours as follows: 
(a) Substance Abuse Specific (SAS) education 



and training in the amount of at least 190 

hours; 

(b) Up to 80 hours can be directed toward 



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APPROVED RULES 



general professional skill building (GSB) 
to enhance counselor development; 

(c) No more than 25% of the 270 hours (67.5 
hours) may be inservice education re- 
ceived within the applicant's organization 
by staff of the same organization; 

(d) All 270 clock hours needed for initial 
certification must be Ln the core competen- 
cies. Core competencies are listed as 
follows: 

(i) Basic alcoholism, drug addiction 
and cross addiction knowledge; 

(ii) Screening, intake, orientation and 
assessment; 

(iii) Individual, group and family coun- 
seling and intervention techniques; 

(iv) Case management, treatment plan- 
ning, reporting and record keeping; 

(v) Crisis intervention skills; 

(vi) Prevention and education; 
(vii) Consultation, referra l and network- 
ing that utilizes community 
resources; 
(viii) Ethics, legal issues, and confidenti- 
ality; 

(ix) Special populations which include 
but are not limited to individuals or 
groups with specific ethnic, cul- 
tural, sexual orientation, and gen- 
der characteristics as well as per- 
sons dealing with HIV, co-occur- 
ring disabilities and perinatal is- 
sues; 

Physiology and pharmacology of 
alcohol and other drugs that include 
the licit and illicit drugs, inhalants 
and nicotine; 

Psychological, emotional, personal- 
ity and developmental issues; and 
Traditions and philosophies of 12- 
step and other recovery support 
groups: 

(e) Of the 270 clock hours, all applicants for 
certification as a Substance Abuse Profes- 
sional must document twelve hours of 
HIV or AIDS training and education and 
six hours professional ethics training and 
education: 

(3) A one hundred dollar ($100.00) oral examination 
and case preparation fee plus a one hundred 
dollar ($100.00) written exam fee and a one 
hundred dollar ($100.00), non-refundable regis- 
tration fee, unless previously paid. The appli- 
cant may request a retest and pay a non-refund- 
able retest fee of one hundred dollars ($100.00) 
if a passing score is not achieved and at least 
three months have passed from the date of test; 



Iii 



(xi) 



(4) Successful completion of the ICRC/AODA 
written exam; 

(5) Successful completion of an ICRC/AODA oral 
examination and case presentation administered 
by the Board following review and approval by 
the Board of the requirements in this Rule; 

(6) Completed evaluation forms and contracts for 
supervision, these forms must be mailed directly 
to the Board by three references: a supervisor, 
co-worker, and colleague; 

(7) A signed form attesting to the applicant's adher- 
ence to the Ethical Standards of the Board; 

(8) Documentation of high school graduation, com- 
pletion of GED, baccalaureate or advanced 
degree; 

(9) Completed registration forms; 

( 10) Resume and job description which verifies job 
function for a supervised experience of 6000 
hours. 

History Note: Authority G.S. 90-113.30; 90-113.31; 90- 
113.33; 90-113.36; 90-113.39; 90-113.40; 
Eff. August 1, 1996 . 

.0206 PROCESS FOR PREVENTION 

CONSULTANT CERTIFICATION 

(a) This certification shall be offered to those persons 
whose primary responsibilities are to provide substance 
abuse prevention and education, alternative activities, 
community organization, networking, and referral . 
Prevention consultants may be either based in human 
service agencies or other appropriate settings. 

(b) Requirements for certification shall be as follows: 

( 1) 6000 hours which is the equivalent of three years 
full-time experience in the field; 

(2) 270 hours of board approved academic and 
didactic training divided in the following man- 
ner: 

(A) 170 hours in the area of primary and 
secondary prevention and life skills train- 
ing; and 

(B) 100 hours in substance abuse specific 
studies; 

(3) A minimum of 300 supervised practice hours 
documented by a Board approved alcohol, drug 
or substance abuse professional; 

(4) Evaluations from a supervisor on this practice as 
well as two evaluations from colleagues or co- 
workers; 

(5) Successful completion of an ICRC/AODA writ- 
ten examination; 

(6) A signed form attesting to the applicant's adher- 
ence to the Ethical Standards of the Board; 

(7) A registration and testing fee of two hundred 
twenty-five dollars ($225.00), twenty-five dollars 
($25.00) of which is due when the request is 
made for the application packet and the remain- 



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241 



APPROVED RULES 



der at the time of filing. 

History Note: Authority G.S. 90-113.30; 90-113.31; 90- 
113.33; 90-113.34; 90-113.40; 90-113.41; 
Eff. August 1. 1996. 

.0208 CONTINUING EDUCATION REQUIRED 
FOR COUNSELOR AND PREVENTION 
CONSULTANT RECERTIFICATION 

(a) Each certified Counselor and Prevention Consultant 
shall receive 60 hours of Board approved education during 
the current certification period which shall be documented. 
A minimum of 30 hours shall be substance abuse specific 
(SAS) and no more than 25 percent or 15 hours can be 
inservice education. This education may include a combi- 
nation of hours including attending workshops, receiving 
clinical supervision and providing workshops. 

(b) Recertification educational guidelines as a Substance 
Abuse Professional require: 

( 1) No more than 25 percent or j_5 hours may be 
inservice education, received within your organi- 
zation by staff of the same employment. 

(2) No more than 25 percent or L5 hours receiving 
supervision with two hours of supervision trans- 
lating to one hour of education. 

(3) No more than 25 percent or 15 hours of work- 
shop presentation with two hours of presentation 
translating to one hour of education. Workshop 
presentation shall be a part of an event pre- 
approved by the Board. 

(4) No more than 25 percent or J_5 hours of Alco- 
hol/Drug Education Traffic School ( ADETS) and 
Drug Education School (PES) events. 
An applicant shall include documentation of each 
event submitted. 



(5) 
(6) 



All applicants shall include six hours of 
HIV/AIDS training and education and three 
hours of professional ethics training and educa- 
tion for each recertification. 
(c) To be recertified, a certified professional must 
submit the following: 

(1) A completed application form with continuing 
education documented; and 

[2] A non-refundable one hundred dollar ($100.00) 
recertification fee. 

History Note: Authority G.S. 90-113.30; 90-113.33; 90- 
113.37; 90-1 13. 38; 
Eff. August 1. 1996. 

.0209 RECIPROCITY 

(a) If a counselor, prevention consultant or clinical 
supervisor holds a certification in an ICRC/AODA member 
state as a certified substance abuse counselor (to include 
alcohol and other drugs), ce rtified prevention consultant, or 
certified clinical supervisor, the person may transfer this 
certification to North Carolina by applying a transfer fee as 



assessed by the ICRC/AODA. 

(b) The reciprocal certification effective date shall 
remain the same as in the previous state. 

(c) At the time when recertification is required, it will 
be the individual's responsibility to submit an application 
for recertification. For the period of the first recertifica- 
tion in North Carolina, the Board shall accept the mem- 
ber's former State recertification requirements for the 
purpose of reciprocal recertification. At the end of this 
recertification period, it shall be the individual's responsi- 
bility to conform to the recertification requirements of 
North Carolina in effect at the time of recertification. 

History Note: Authority G. S. 90-113.30; 90-113.33; 90- 
113.37; 90-113. 38; 
Eff. August 1 . 1996. 

.0210 CONVERSION 

(a) Alcoholism and drug abuse counselors may convert 
to substance abuse counselors as prescribed by 
ICRC/AODA or maintain their alcohol or drug abuse 
certification. 

(b) A person with either of the single credentials shall 
not be eligible for reciprocity or the international certificate 
through the ICRC/AODA. 

(c) The conversion fee shall be two hundred twenty-five 



dollars ($225.00) with twenty-five dollars ($25.00) of this 
fee due when the application packet is requested. 

History Note: Authority G.S. 90-113.30; 90-113.33; 
Eff. August 1 , 1996 . 

.0211 PROCESS FOR CLINICAL SUPERVISOR 
CERTIFICATION 

(a) Clinical Supervisor Certification shall be a voluntary 



certification. It is an aspect of staff development dealing 



with the clinical skills and competencies for persons 
providing counseling. 

(V) Requirements for certification shall be: 
( 1 ) Applicant shall obtain and maintain substance 



abuse counselor certification in order to be 
eligible for Clinical Supervisor Certification with 
the exception of those supervisors holding a 
masters degree and certified pursuant to a written 
exam prior to July j^ 1994; 
After June 30, 1998, all applicants shall be 
required to hold a master's degree or higher 
education; 
(3) 12,000 hours or six years experience in the field 



ill 



of alcohol and other drug abuse counseling or 
8,000 hours or four years experience if the 
applicant has a master's degree or higher educa- 



tion. (After June 30, 1998, all applicants shall 
be required to hold a master's degree or higher 
level of education); 
(4) Thirty hours of substance abuse clinical supervi 



sion specific education or training for initial 



242 



NORTH CAROLINA REGISTER 



May 15, 1996 



UA 



APPROVED RULES 



certification and 15 hours of substance abuse 
clinical or training supervision specific education 
for recertification (which will occur every two 
years). These hours shall be reflective of the 
twelve core functions in their clinical application 
and practice and may also be used as recertifica- 
tion hours for counselor certification; 

(5) Three letters of reference: one from a substance 
abuse professional who can attest to supervisory 
competence and two from either substance abuse 
counselors who have been supervised by the 
candidate or substance abuse professionals who 
can attest to the applicant's competence; 

(6) Successful completion of an ICRC/AODA writ- 
ten examination; 

(7) Payment of all fees. A fee of twenty-five dollars 
($25.00) shall be submitted to the Board with a 
letter of intent in order to receive the application 
packet. A fee of two hundred dollars ($200.00) 
shall be submitted to the Board when the applica- 
tion packet is completed and mailed [one hun- 
dred dollars ($100.00) shall be the registration 
and processing fee and one hundred dollars 
($100.00) is the written test fee); and 

(8J A fee of one hundred dollars ($100.00) shall be 
required as a recertification fee. 

History Note: Authority G.S. 90-113.30; 90-113.33; 90- 
113.34; 90-113.38; 90-113.40; 90-113.41; 
M. Aueust L 1996. 

.0212 PROCESS FOR RESIDENTIAL 

FACILITY DIRECTOR CERTIFICATION 

(a) Residential facility director certification is a volun- 
tary certification. It can be obtained and continued by any 
person certified as a Substance Abuse Counselor. 

(b) Requirements for certification are as follows: 

(1) 50 hours of Board approved academic and 
didactic management specific training; 

(2) Recommendation of applicant's current supervi- 
sor; 

(3) Positive recommendation of a colleague and co- 
worker of the applicant; and 

(4) Registration and application fee of two hundred 
twenty-five dollars ($225.00), twenty-five dollars 
($25.00) of which is due when requesting appli- 
cation and the re mainder is due upon filing. 

(c) In addition to meeting the continuing education 
requirements provided to practice as a Certified Counselor, 
in order to maintain uninterrupted certification as a Resi- 
dential Facility Director, the applicant shall take 40 hours 
if continuing education every two years and maintain 
proper documentation of such training. Anyone allowing 



unification to lapse beyond three months of the recertifi- 



ipplicant. 



nation due date shall be required to reapply as a new 



History Note: Authority G.S. 90-113.30; 90-113.33; 90- 
113.35; 90-113.38; 90-113.39; 90-113.40; 
Eff. August 1, 1996. 

.0213 CONTINUING EDUCATION APPROVAL 
POLICY 

(a) The Board shall approve educational events for 
professional certification. One certified hour is defined a 
one contact hour of participation in an organized continuing 
education experience under responsible sponsorship, 
capable direction and qualified instruction. Continuing 
education used to meet the certification requirements shall 
be reviewed and approved by the Board. If the sponsor 
does not obtain credit from the Board, the individual 
participants shall be responsible for supplying all of the 
required information for each session at the time of request 
for certification or recertification or conversion. The 
Standards and Credentials Committee shall review requests 
once monthly. Submission of approval requests should be 
postmarked 45 days prior to opening day of the event. 

(b) Any applicant for training approval shall submit: 

( 1 ) Title of course, date, location, individual or 
organization sponsor, whether it will be held 
only once or recurring. 

(2) Presenters) who shall attach a resume outlining 
expertise in the subject area and content of the 
session. 

(3) Brief but thorough description of contents of 
track, course, seminar, etc, and the type of 
credit hours being requested, to include sub- 
stance abuse specific or general skill building. 

(4) Agenda, to include the breakdown of time in- 
cluding a J_5 minute break for every two hours 
of education and amount of time allowed for 
meals. 

(5) Application for training approval shall include a 
copy of the objective evaluation tool to be used. 

(6) A summary of evaluation that shall be submitted 
to the Board within 45 days following the pro- 
gram date(s). 

(c) The Board reserves the right to review programs by 
sending a Board member or designee to monitor the event 
or a portion of the event. When fulfilling this quality 
assurance role, the designated person shall present a letter 
of introduction to the presenter. 

(d) Certification hours may be awarded only for actual 
hours completed. 

(e) Certificates are not to be released until the event 
ends or they shall be modified to reflect the actual hours 
completed. 

[fj Providers of Board approved events are required to 
document attendance at individual events for schools, 
courses, curricula and conferences. 

(g) Event sponsors shall maintain attendance and 
evaluation records for no less than three years. 

(h) Training approved by ICRC member boards shall be 
accepted with appropriate documentation of completion. 



M 



NORTH CAROLINA REGISTER 



May 15, 1996 



243 



APPROVED RULES 



(i) Employer Inservice events shall meet the same 
requirements as above. Inservice includes any event 
provided in the applicant's organization by a person under 
the same employment as the applicant (military employ- 
ment is considered within the same department). How- 
ever, if 20% of the participants are non-employees of the 
sponsoring and presenting agency, the standard fee sched- 
ule shall be in effect. Education received within the 
organization by. outside trainers is not considered inservice. 

{]) Credit shall not be given for the following: 

(1) Banquet speakers unless the content meets the 
requirements in this Rule; 

(2) Case presentation; or 

(3) Registration time. 

(k) Presenters shall be given one hour of credit for 
every two hours presented. 

(1) The Board may revise or rescind credit hours if 
information is received documenting that a previously 
approved event was not presented as it was approved. 

History Note: Authority G.S. 90-113.30; 90-113.33; 90- 
113.38; 90-113.39; 90-113.40; 
Eff. August 1 , 1996. 

SECTION .0400 - EDUCATION 

.0401 EDUCATION APPROVAL POLICY 

(a) The Certification Board shall approve educational 
events for professional certification or certification re- 
newal. One certified hour is defined as one contact hour 
of participation in an organized education experience under 
sponsorship approved in accordance with these rules. 

ibi The Certification Board shall review and approve all 
education used to meet the certification requirements. 

(c) Approval may be requested by an individual appli- 
cant or by a sponsor or presenter. If the sponsor does not 
obtain credit from the Certification Board, the individual 
participants shall be responsible for supplying all of the 
required information for each session at the time of request 
for certification, recertification, or conversion. The 
Standards and Credentials Committee shall review requests 
once monthly. 

(d) To insure a determination of a request prior to the 
date of presentation, sponsors, presenters, or individuals 
shall submit requests 45 days prior to opening day of the 
event. 

History Note: Authority G.S. 90-113.30; 90-113.37; 90- 

113.40; 

Eff. August 1, 1996. 

.0402 GENERAL GUIDELINES 

(a) The guidelines set forth in this section shall apply to 
each approval request for obtaining credit for didactic and 
academic hours for course, curricula, and training events 
held January f, 1987 or thereafter. 

(b) The following information and standards shall be 



required: 

(1) Title of course, date, location, sponsor (individ- 
ual or organization), and whether it shall be held 
only once or periodically; 

(2) The name of the presenter(s) and a resume 
outlinin g his or her expertise in the subject area 
and content of the session; 

(3) A sufficient description of the contents of a 
track, course, seminar, or other unit of academic 
pursuit and the type of credit hours being re- 
quested to indicate if it is substance abuse spe- 
cific or general skill building; 

(4) An agenda reflecting the breakdown of time 
including a J_5 minute break for every two hours 
of education and amount of time allowed for 
meals; 

(5) Each application for training approval may 
include a copy of the objective evaluation tool to 
be used; 

(6) The summary of evaluations may be submitted to 
the Board within 45 days following the program 
date(s); 

(c) The Certification Board shall have the right to 
review programs by sending a Certification Board member 
or designee to monitor the event or a portion of the event- 
When fulfilling this quality assurance role, the designated 
person shall present a letter of introduction to the pre- 
senter. 

(d) Certification hours shall be awarded only for actual 
hours attended. 



(e) Certificates shall not be released until the event ends 
and they shall be modified to reflect actual hours com- 
pleted. 

(f) Providers of Board approved events shall be required 
to document attendance at individual events for schools, 
courses, curricula and conferences. 

(g) Event sponsors shall maintain attendance and 
evaluation records for no less than three years. 

(~h) Training approved by International Certification and 
Reciprocity Consortium (ICRC) member boards shall be 
accepted with documentation of completion. 

History Note: Authority G. S. 90-113. 30; 90-113.37; 90- 

113.40; 

Eff. August 1. 1996. 

.0403 EMPLOYER INSERVICE EVENT 

(a) An employer inservice event shall be a training 
session that shall be provided by the applicant's employer 
for the purpose of professional certification and it shall be 
approved by the Board for this purpose as with other 
training events. 

(b) An applicant's military employment shall be consid- 
ered inservice training. 

History Note: Authority G.S. 90-113.30; 90-113.37; 90- 
113.40; 



244 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



APPROVED RULES 



Eff. August 1. 1996. 

.0405 SPONSOR GUIDELINES 

(a) Sponsors or presenters shall submit requests for 
approval prior to the event and shall allow the Board 45 
days for review and approval . Requests by sponsors or 
presenters postmarked after the event has taken place shall 
not be reviewed or approved by the Board, but shall be 
returned. Documentation of the event attendance shall then 
be submitted by each individual at the time request is made 
for certification or recertification or conversion. 

(b) All a pprovals from the Board shall be in writing and 
shall include the event approval number. 

(c) Sponsors shall be responsible for providing a 
certificate of attendance which includes the approval 
number and number of approved education hours. 

(d) Any event given on a recurring basis, as in the 
example of college courses, may be given approval on a 
yearly basis. Renewal of credit approval shall be based on 
submission of a letter by the sponsor or presenter docu- 
menting no change in course content. Any changes in 
content or method shall be submitted for review and 
approval in order to maintain prior approval. When 
changes have been made in content, method or agenda, the 
fee shall be the same as for a new event. 

(e) Fees for review and approval of events: 

(1) For 1-10 hours of instruction the Board shall 
impose a fee of twenty-five dollars ($25.00); 
For 1 1-20 hours of instruction the Board shall 
impose a fee of fifty dollars ($50.00); 
For 21-30 hours of instruction the Board shall 



£21 
£31 

£41 
£51 



impose a fee of seventy-five dollars ($75.00); 
For 31-40 hours of instruction the Board shall 
impose a fee of one hundred dollars ($100.00); 
For 41-50 hours of instruction the Board shall 
impose a fee of one hundred twenty-five dollars 
($125.00); 

(6) For 51-100 hours of instruction the Board shall 
impose a fee of one hundred fifty dollars 
($150.00). 

(7) For greater than 100 hours of instruction the 
Board shall impose a fee greater than one hun- 
dred fifty dollars ($150.00) and those additional 
charges shall be imposed in incremental amounts 
as set forth in Subparagraphs (e)(l ) through (6) 
of this Rule, not to exceed three hundred dollars 
($300.00). 

listory Note: Authority G.S. 90-113.30; 90-113.37; 90- 
13.38; 90-1 13.40; 
Iff. August 1, 1996. 



0406 PROCEDURES FOR APPROVAL OF 
SELF-STUDY COURSES 

(a) Self-study courses may be submitted for approval for 
ecertification hours only and shall be submitted by the 



endor. 



(b) A copy of all documents including test and docu- 
mentation of completion shall be submitted with the 
application. 

(c) At the end of the year for which the course is 



approved, a list of all North Carolina applicants enrolling 
for the training with completion outcome shall be submitted 
to the Certification Board. 

(d) No more than 25% of hours for recertification may 
be completed through self-study programs. 

(el Self-study courses may not be repeated for credit. 

(fj A fee of one hundred fifty dollars ($150.00) shall be 
submitted for each course. Approval is for one year from 
the date the Certification Board approves the application. 
A fee of twenty five dollars ($25.00) shall be submitted 
for renewal. 

History Note: Authority G.S. 90-113.30; 90-113.37; 90- 
113.38; 90-113. 40; 
Eff. August 1. 1996 . 

.0407 APPLICANT GUIDELINES 

(a) After January J^ 1985, to gain credit for an a ppli- 
cant's education for certification, recertification or conver- 
sion, the applicant shall provide the event approval number 
and proper documentation of attendance which includes: 

(1) Certificate of attendance; or 

(2) Training cards or sheets signed by a sponsor or 
presenter. 

£b_l Documents not acceptable to establish that an 
applicant has received continuing education are as follows: 
(1) Canceled checks; 
Receipts; 

Letters from supervisors who were non-partici- 
pants in the course; or 
Program schedules. 

(c) If the sponsor failed to obtain approval for an event, 
the applicant shall be responsible for supplying the required 
information for each session as stated in Rule .0402 of this 
Section. 

(d) To gain credit for didactic or academic hours of 
continuing education events held prior to January \^ 1985. 
the following standards apply: 

(1) The Board shall accept education previously 
approved by the former N.C. Alcoholism Certif- 
ication Board and N.C. Drug Abuse Professional 
Certification Board. 

£21 Events held between January _L, 1980 and De- 
cember 31, 1984 shall include all of the informa- 
tion required pursuant to Rule .0402 of this 
Section, except the resume of the presenter. 

(3) Events held prior to January J^ 1980 may be 
approved if a description of the material, 
method, number of hours and presenter's name 
is provided by the applicant. 

£gl It is the responsibility of the individual a pplicant to 
put together a package of hours in accordance with criteria 
contained herein. Sixty hours of education shall be 



121 
£31 

£41 



NORTH CAROLINA REGISTER 



May 15, 1996 



245 



APPROVED RULES 



completed within the two years immediately prior to 
request for certification or recertification or conversion. 
There shall be no time frame on the remaining required 
hours for certification, to include conversion. 

(f) Inservice events shall be identified as such. 

{2} If a page of material js received from the applicant 
which does not comply with the above requirements, it 
shall be returned to the applicant. 

(h) Request for approval shall be mailed to the Board. 

History Note: Authority G.S. 90-113.30; 90-113.33; 90- 
113.37; 90-1 13.40; 
Eff. August 1, 1996. 

SECTION .0700 - APPEALS PROCESS 

.0701 HEARING BEFORE BOARD; TIME 
REQUIREMENT 

(a) Upon denial, suspension or revocation of certifica- 
tion, the applicant may request a hearing before the Board 
which will serve as the appeals hearing body. 

(b) Requests for an appeals hearing shall be made in 
writing to the President of the Board within 60 days upon 
receipt of the notification that certification has been denied 
or revoked. 

History Note: Authority G.S. 90-113.30; 90-113.39; 90- 

113.40; 

Eff. August 1, 1996. 

.0702 RIGHT TO HEARING 

(a) When the Board proposes to deny, suspend or 
revoke a certificate of certification, or at any other time 
when it deems a hearing appropriate, it shall give notice to 
the person(s) affected of the right to an administrative 
hearing. 

(b) The notice shall be mailed by certified mail to such 
person at his or her last known address. 

(c) The person affected may assert his or her right to a 
heanng by mailing to the Board a request for an Adminis- 
trative Hearing pursuant to Rule .0703 of this Section, 
except that attempts at informal resolution shall not be 
required and a hearing shall be granted to an applicant 
whose request is postmarked prior to the date on which the 
Board is scheduled to act or such other date as may be 
specified in the notice. 

History Note: Authority G.S. 90-113.30; 90-113.39; 90- 

113.40; 

Eff. August 1, 1996. 

.0703 REQUEST FOR HEARING 

(a) Any applicant for certification or certified individual 
who believes his or her rights, duties or privileges have 
been affected by the Board's administrative action but who 
has not received notice of a right to an administrative 
hearing, may file a formal request for a hearing to deter- 



mine certification or recertification. 



(b) Before an applicant or certified individual may file 
a request, he or she shall first exhaust all reasonable efforts 
to resolve the issue informally with the Board. 

(c) The chairperson of the Ethics Committee or his or 
her designee may meet with the person accused of an 
ethical violation, if the accused so chooses, prior to 
requesting additional information from the complainant. 

(d) Subsequent to such informal action, if still dissatis- 
fied, the person affected shall submit a written request to 
the Board in an envelope bearing the notation "REQUEST 
FOR ADMINISTRATIVE HEARING." That request shall 
contain the following information: 

( 1) Name and address of the applicant or certified 
individual; 

(2) Concise statement of the action taken by the 
Board which is challenged; 

(3) Concise statement of the way in which the 
applicant or certified individual has been ag- 
grieved; and 

(4) A clear and specific statement of request for a 
hearing. 

(e) A request for a hearing shall be acknowledged 
promptly and, if deemed appropriate, a hearing shall be 
scheduled. 

History Note: Authority G.S. 90-113.30; 90-113.39; 90- 

113.40; 

Eff. August 1. 1996. 

.0706 WHO SHALL HEAR CONTESTED 
CASES 

All administrative hearings shall be heard by the Board. 
The President or his or her designee shall be responsible 
for the conduct of the hearing. 

History Note: Authority G.S. 90-113.30; 90-113.39; 90- 

113.40; 

Eff. August 1. 1996. 

.0707 PETITION FOR INTERVENTION 

(a) Any person seeking to intervene in a contested case 
shall file a written petition with the Board. The envelope 
of such request shall bear the notation "PETITION TO 
INTERVENE IN THE CASE OF (NAME OF CASE)." 

(b) The petition shall include the following information: 
( 1) Name and address of petitioner; 

Business or occupation of petitioner, where 
relevant; 



£21 
[31 

£41 
£51 

£6} 



Full identification of the hearing in which peti- 
tioner is seeking to intervene; 
Statutory or non-statutory grounds for interven 
tion or if none, so state; 

Any claim or defense, in respect of which inter- 
vention is sought; and 
Summary of the arguments or evidence petitionei 
seeks to present. 



246 



NORTH CAROLINA REGISTER 



May 15, 1996 



11A 



APPROVED RULES 



(c) The Board shall mail copies of the petition to the 
parties to the case, with the costs, at the rate of twenty-five 
cents (0.25) per page, chargeable to the petitioner. 

(d) Upon the determination of the Board to allow 
intervention, notice of that decision shall be issued 
promptly to all parties as to the petitioner. In cases of 



Board. 

(4) A record of proceedings and the reasons for 

decisions reached shall be maintained as part of 

the contested case. 

(f) Disqualification or withdrawal of a Board member 

because of personal bias or otherwise will not cause the 



discretionary intervention, such notification shall include a hearing to be postponed unless a quorum is not available. 



statement of any limitations of time, subject matter, 
evidence or whatever else is deemed necessary, which are 
imposed on the intervenor. 

(e) Upon the Board's decision to deny intervention, the 
petitioner shall be notified promptly. Such notice shall be 
in writing, shall state ail reasons for the decision and shall 
be issued to the petitioner and to all parties. 

History Note: Authority G.S. 90-113.30; 90-113.39; 90- 

113.40; 

Eff. August 1, 1996. 

.0709 DISQUALIFICATION OF BOARD MEMBER 

(a) Self-disqualification of Board Member. If for any 
reason the Board member determines that factors render 
him or her unable to conduct or participate in the hearing 
and perform all duties in an impartial manner, he or she 
shall submit, in writing, to the Board his or her disqualifi- 
cation. 



(b) Petition for Disqualification. If for any reason any 
party in a contested case believes that the Board member 



personally is biased or otherwise unable to conduct or 
participate in the hearing and perform all duties in an 
mpartial manner, the party may file a sworn, notarized 
affidavit with the Board. The envelope of such affidavit 
shall bear the notation: "AFFIDAVIT OF DISQUALIFI- 
CATION OF BOARD MEMBER IN THE CASE OF 
(NAME OF CASE)." 

(c) Contents of Affidavit. The affidavit must state all 
facts the party deems relevant to the disqualification of the 
Board member. 



(d) Timeliness of Affidavit. An affidavit of disqualifi- 
:ation shall be considered timely if filed at least 10 days 
before commencement of the hearing. Any other affidavit 
shall be considered timely provided it is filed at the first 
jpportunitv after the party becomes aware of the facts 

hich give rise to a reasonable belief that the Board 
Tiember may be disqualified pursuant to this Rule. 

(e) Procedure for Determining Disqualification is as 
ollows: 

The President of the Board may 



iH The 



appoint a mem- 



ber of the Board to investigate the allegations of 
the affidavit and report his or her findings and 
recommendations to the Board. 

(2) The Board, with such assistance as it deems 
appropriate, shall decide whether to disqualify 
the challenged individual. 

(3) The person whose disqualification is to be deter- 
mined will not participate in the decision but will 
have the right to furnish information to the 



History Note: Authority G.S. 90-113.30; 90-113.39; 90- 

113.40; 

Eff. August 1, 1996. 



NORTH CAROLINA REGISTER 



May 15, 1996 



247 



LIST OF RULES CODIFIED 



A. he List of Rules Codified is a listing of rules that were filed with OAH in the month indicated. 


Key. 




Citation 


= Title, Chapter, Subchapter and Rule(s) 


AD 


= Adopt 


AM 


= Amend 


RP 


= Repeal 


With Chgs 


= Final text differs from proposed text 


Corr 


= Typographical errors or changes that requires no rulemaking 


Temp. 


= Rule was fded as a temporary rule 


Eff. Date 


= Date rule becomes effective 



TITLE 



NORTH CAROLINA ADMINISTRATIVE CODE 
MARCH 96 
DEPARTMENT TITLE DEPARTMENT 



2 


Agriculture 


10 


Human Resources 


11 


Insurance 


13 


Labor 


15A 


Environment, Health, 




and Natural Resources 


IS 


Secretary of State 



21 Occupational Licensing Boards 

4 - Auctioneers 
22 - Hearing Aid Dealers and Fitters 

36 - Nursing 

37 - Nursing Home Administrators 

56 - Professional Engineers and Land Surveyors 
26 Office of Administrative Hearings 



RCLE CITATION 


AD 


AM 


RP 


WITH 
CHGS 


CORR 


TEMP 


EFFECTIVE 
DATE 


2 


NCAC 9L .1806 


/ 






/ 






04/01/96 


10 


NCAC 3R .2012 










/ 






3U .0604 










/ 






14C .1123 










/ 






.1151 










/ 






.1155 










/ 






26H .0506 




/ 








/ 


04/22/96 


46D .0101 










/ 






46H .0203 










/ 






11 NCAC 4 .0501 - .0506 


/ 






/ 






01/01/97 


.0507 


/ 












01/01/97 


.0508 - .0509 


/ 






/ 






01/01/97 


6 .0901 


/ 












04/01/96 


.0902 


/ 






/ 






04/01/96 




248 


NORTH CAROi 


UNA R 


EGISTl 


:r 




May 1 


5, 1996 


11:4 











LIST OF RULES CODIFIED 














RLL 


E CTTATI 










WITH 
CHGS 


CORK 


TEMP 


EFFECTIVE 
DATE 




AM 


RP 


ON 


AD 






11 


NCAC 


6 


.0903 


/ 












04/01/96 


.0904 


/ 






/ 






04/01/96 


13 


NCAC 


7F 


.0101 










/ 






.0101 




/ 








/ 


04/01/96 


.0101 




/ 










04/01/96 


15A 


NCAC 


2B 


.0224 - .0225 




/ 




/ 






04/01/96 


.0304 




/ 




/ 






04/01/96 






2Q 


.0401 




/ 




/ 






04/01/96 


.0402 




/ 










04/01/96 


.0403 - .0418 






/ 








04/01/96 






3J 


.0403 












EXPIRED 








7H 


.0208 










/ 






.0309 - .0310 




/ 




/ 






04/01/96 








.2204 










/ 










10K 


.0001 




/ 




/ 






04/01/96 






16A 


.1002 










/ 










18A 


.2601 




/ 








/ 


04/08/96 


.2700 










/ 






18 


NCAC 


4 


.0308 










/ 






.0312 - .0314 










/ 






.0501 










/ 






.0504 










/ 










9 


.0101 - .0116 


/ 






/ 






04/01/96 


21 


NCAC 


4B 


.0103 




/ 










04/01/96 








.0201 .0202 




/ 




/ 






04/01/96 








.0403 




/ 




/ 






04/01/96 








.0505 




/ 










04/01/96 








.0601 - .0602 




/ 




/ 






04/01/96 






22L 


.0001 




/ 




/ 






04/01/96 






36 


.0228 


/ 






/ 






04/01/96 






37A 


.0101 






/ 








04/01/96 


.0108 






/ 








04/01/96 




1:4 






NORTH CAR 


OLINA 


REGIS 


TER 




May 15, 


1996 


249 









LIST OF RULES CODIFIED 












RLLE CITATION 


AD 


AM 


RP 


WITH 

C'lltiS 


CORR 


TEMP 


EFFECTIVE j 
DATE | 


21 


NCAC 37A .0110 








/ 








04/01/96 


.0208 






/ 








04/01/96 


.0211 






/ 








04/01/96 


.0306 






/ 








04/01/96 


.0308 






/ 








04/01/96 


.0506 






/ 








04/01/96 




.0603 - 


.0604 






/ 








04/01/96 




.0702 - 


.0707 






/ 








04/01/96 


.0805 






/ 








04/01/96 


.0901 






/ 








04/01/96 


.0905 






/ 








04/01/96 


.0907 






/ 








04/01/96 


.1203 






/ 








04/01/96 




37B .0101 - 


.0103 


/ 












04/01/96 


.0201 


/ 






/ 






04/01/96 


.0203 


/ 












04/01/96 


.0205 


/ 






/ 






04/01/96 


37C .0101 




/ 




/ 






04/01/96 


.0102 


/ 






/ 






04/01/96 


.0103 




/ 










04/01/96 




37D .0101 - 


.0102 


/ 












04/01/96 


.0201 




/ 




/ 






04/01/96 


.0203 




/ 










04/01/96 




.0301 - 


.0303 


/ 












04/01/96 


.0402 




/ 




/ 






04/01/96 




.0403 - 


.0406 




/ 










04/01/96 




.0408 - 


.0410 




/ 




/ 






04/01/96 


.0411 






/ 


/ 






04/01/96 


.0412 




/ 




/ 






04/01/96 


.0501 




/ 




/ 






04/01/96 




.0502 - 


.0503 




/ 










04/01/96 


.0601 


/ 






/ 






04/01/96 





250 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



LIST OF RULES CODIFIED 





RULE CITATION 


AD 


AM 


RP 


WITH 
CHGS 


CORR 


TEMP 


EFFECTIVE 
DATE 


21 


NCAC 37D 


.0602 - .0603 


/ 












04/01/96 


.0605 




/ 










04/01/96 


.0701 - .0703 


/ 












04/01/96 




37E 


.0101 - .0102 




/ 




/ 






04/01/96 




37F 


.0101 




/ 




/ 






04/01/96 


.0102 




/ 










04/01/96 




37G 


.0101 




/ 




/ 






04/01/96 


.0201 




/ 




/ 






04/01/96 


.0202 




/ 










04/01/96 


.0301 




/ 




/ 






04/01/96 


.0401 




/ 










04/01/96 




37H 


.0101 


/ 












04/01/96 


.0103 




/ 










04/01/96 


.0104 


/ 












04/01/96 




371 


.0101 




/ 




/ 






04/01/96 




56 


.1602 










/ 






.1604 










/ 






26 


NCAC 2A 


.0101 - .0102 






/ 








04/01/96 


.0201 - .0212 






/ 








04/01/96 


.0301 






/ 








04/01/96 


.0303 






/ 








04/01/96 


.0401 - .0406 






/ 








04/01/96 


.0501 - .0507 






/ 








04/01/96 




2B 


.0101 






/ 








04/01/96 


.0103 - .0104 






/ 








04/01/96 






.0201 - .0204 






/ 








04/01/96 






.0301 - .0303 






/ 








04/01/96 


.0401 






/ 








04/01/96 




2C 


.0101 


/ 












04/01/96 


.0102 - .0103 


/ 






/ 






04/01/96 






.0104 - .0105 


/ 












04/01/96 




.0106 


/ 






/ 






04/01/96 




1:4 




NORTH CAR 


OLINA 


REGIS 


TER 




May i5, 


1996 


251 



LIST OF RULES CODIFIED 





RULE CITATION 


AD 


AM 


RP 


WITH 
CHGS 


CORR 


TEMP 


EFFECTIVE 
DATE 


26 


NCAC 2C .0107 


/ 












04/01/96 


.0108 - .0109 


/ 






/ 






04/01/96 


.0110 


/ 












04/01/96 


.0201 - .0205 


/ 












04/01/96 


.0206 - .0207 


/ 






/ 






04/01/96 


.0301 - .0302 


/ 












04/01/96 


.0303 - .0304 


/ 






/ 






04/01/96 


.0305 


/ 












04/01/96 


.0306 


/ 






/ 






04/01/96 


.0401 


/ 












04/01/96 


.0402 - .0403 


/ 






/ 






04/01/96 


.0404 


/ 












04/01/96 


.0405 - .0407 


/ 






/ 






04/01/96 


.0408 - .0409 


/ 












04/01/96 


.0410 


/ 






/ 






04/01/96 


.0501 


/ 












04/01/96 


.0502 


/ 






/ 






04/01/96 


.0503 


/ 












04/01/96 


.0504 


/ 






/ 






04/01/96 



252 



NORTH CAROLINA REGISTER 



May 15, 1996 



11: 



LIST OF RULES CODIFIED 



A. he List of 


Rules Codified is a listing of rules that were filed with OAH in the month indicated. 


Key: 




Citation 


= Title , Chapter, Subchapter and Rule(s) 


AD 


= Adopt 


AM 


= Amend 


RP 


= Repeal 


With Chgs 


= Final text differs from proposed text 


Con- 


= Typographical errors or changes that requires no rulemaking 


Temp. 


= Rule was filed as a temporary rule 


Eff. Date 


= Date rule becomes effective 



NORTH CAROLINA ADMINISTRATIVE CODE 
APRIL 96 



ITLE 


DEPARTMENT 


1 


Administration 


2 


Agriculture 


4 


Commerce 


10 


Human Resources 


12 


Justice 


15A 


Environment, Health, 




and Natural Resources 


18 


Secretary of State 



TITLE DEPARTMENT 

21 Occupational Licensing Boards 

31 - Martial and Family Therapy Certification 

32 - Medical Examiners 

45 - Fee-Based Practicing Pastoral Counselors 
54 - Practicing Psychologists 
66 - Veterinary Medical Board 
69 - Soil Scientists 



RULE CITATION 


AD 


AM 


RP 


WITH 
CHGS 


CORR 


TEMP 


EFFECTIVE 
DATE 


1 NCAC 30G .0101 - .0105 


/ 










y 


07/01/96 


2 


NCAC 9L .1806 










y 






4 


NCAC 2T .0604 




/ 










06/01/96 


10 


NCAC 3C .5401 - .5402 


y 






/ 






05/01/96 


.5407 - .5409 


y 












05/01/96 


.5412 - .5413 


/ 












05/01/96 




.6102 










y 








.6209 










y 






.6225 










y 






3U .0102 










y 






14C .1123 










y 






19C .0209 




/ 




y 






05/01/96 


.0408 - .0409 




/ 










05/01/96 




1:4 


NORTH CAR 


OLINA 


REGIS 


TER 




May 15, 


1996 


253 



LIST OF RULES CODIFIED 



RULE CITATION 


AD 


AM 


RP 


WITH 
CHGS 


CORR 


TEMP 


EFFECTIVE 
DATE 


10 


NCAC 19C .0410 




/ 




/ 






05/01/96 


.0504 




/ 




y 






05/01/96 


.0509 - .0512 




/ 




y 






05/01/96 


.0602 




y 




y 






05/01/96 


.0604 




y 




y 






05/01/96 


.0702 - .0703 




y 




y 






05/01/96 


26H .0213 










y 






37 .7003 










y 






39D .0304 


/ 






y 






05/01/96 


41F .0813 










y 






42D .1409 










y 






50D .0101 - .0103 


y 










y 


05/06/96 


.0201 


/ 










y 


05/06/96 


.0301 - .0302 


/ 










y 


05/01/96 


.0401 - .0402 


/ 










y 


05/01/96 


.0501 - .0503 


y 










y 


05/01/96 


12 


NCAC 9F .0101 


y 






y 






05/01/96 


.0102 


y 












05/01/96 


.0103 


y 






y 






05/01/96 


.0104 - .0107 


y 












05/01/96 


15A 


NCAC 3J .0202 










y 






7B .0210 










y 






.0212 










y 






7H .0208 




y 




y 






05/01/96 


.0309 










y 






IOC .0205 




y 




y 






07/01/96 


.0301 




y 




y 






07/01/96 


.0302 




y 




y 






07/01/96 


.0305 




y 




y 






07/01/96 


.0401 




y 










07/01/96 


.0404 




y 




y 






07/01/96 


.0407 




y 










07/01/96 


1 



254 



NORTH CAROLINA REGISTER 



May IS, 1996 



11 






LIST OF RULES CODIFIED 





RULE CITATION 


AD 


AM 


RP 


WITH 
CHGS 


CORR 


TEMP 


EFFECTIVE 
DATE 


15A 


NCAC 10D .0004 




/ 










07/01/96 


10K .0003 


J 






y 






05/01/96 


1 1 .0349 




/ 




s 






05/01/96 


13B .0901 - .0905 






/ 








05/01/96 


.1401 - .1402 




/ 




/ 






05/01/96 


.1403 




y 










05/01/96 


.1404 - .1405 




y 




/ 






05/01/96 


18A .1720 




y 




/ 






05/01/96 


.1722 - .1723 




/ 




y 






05/01/96 


.1725 - .1726 




y 




y 






05/01/96 


.2702 




y 




y 






05/01/96 


19C .0601 - .0603 




y 




y 






07/01/96 




.0605 - .0608 




/ 




y 






07/01/96 


.0609 




/ 










07/01/96 


.0611 


/ 






y 






07/01/96 


25 .0213 




/ 




y 






05/01/96 


18 


NCAC 9 .0117 


/ 






y 






05/01/96 


21 


NCAC 31 .0102 






/ 


y 






05/01/96 


.0104 






s 


y 






05/01/96 


.0502 




/ 




y 






05/01/96 


32H .0203 


/ 






y 






07/15/96 




45 .0201 


/ 






y 






05/01/96 


.0301 


/ 






y 






05/01/96 


.0402 


/ 






y 






05/01/96 


.0501 


y 






y 






05/01/96 


.0601 


y 






y 






05/01/96 




.0701 


/ 






y 






05/01/96 




54 .1604 






/ 








05/01/96 


.1608 




/ 




y 






05/01/96 


.1704 




y 










05/01/96 




.1801 






/ 








05/01/96 


.1904 




y 




y 






05/01/96 




1:4 


NORTH CAR 


OLINA 


REGIS 


TER 




May 15, 


1996 


255 







LIST OF RULES CODIFIED 










RL'LE CITATION 


AD 


AM 


RP 


WITH 
CHGS 


CORR 


TEMP 


EFFECTIVE j 
DATE 


21 


NCAC 54 .2101 




/ 




/ 






05/01/96 


.2103 




y 




S 






05/01/96 


.2204 






/ 








05/01/96 


66 .0101 




/ 




/ 






05/01/96 


.0105 - .0106 




/ 




/ 






05/01/96 


.0108 




/ 




/ 






05/01/96 


.0201 - .0203 




/ 




/ 






05/01/96 


.0205 - .0208 




/ 




/ 






05/01/96 


.0209 - .0210 


/ 






/ 






05/01/96 


.0301 




/ 




/ 






05/01/96 


.0303 - .0308 




/ 




/ 






05/01/96 


.0310 - .0311 


/ 






/ 






05/01/96 


.0601 




• 




y 






05/01/96 


.0606 




/ 




/ 






05/01/96 


.0703 




/ 




/ 






05/01/96 


69 .0101 - .0104 


/ 










/ 


05/01/96 


.0201 - .0202 


/ 










y 


05/01/96 


.0301 - .0308 


/ 










/ 


05/01/96 


.0401 - .0402 


/ 










y 


05/01/96 


.0501 


/ 










y 


05/01/96 



256 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



RULES REVIEW COMMISSION 



1 his Section contains a listing of the rules to be reviewed by the Rules Review Commission (RRC) at the next meeting 
date as noted, and rules that RRC has objected to in accordance with G.S. 150B-21.9(a). State agencies are required 
to respond to RRC objections as provided in G.S. 150B-21. 12(a). 



RULES REVIEW COMMISSION MEMBERS 



Appointed by Senate 

Vernice B. Howard 

Teresa L. Smallwood 

Charles H. Henry 

Philip O. Redwine - Vice Chairman 



Appointed by House 

Jennie J. Hayman - Chairman 
Bill Graham 
Paul Powell 
Ed Shelton 



LOG OF FILINGS 
MEETING DATE: MAY 16, 1996 

RULES SUBMnTED: MARCH 20, 1996 THROUGH APRIL 22, 1996 



FOLLOW MATTERS: 

JUSTICE/Private Protective Services Board - 

EHNR/Environmental Management Commission - 

EHNR/Commission for Health Services - 

PUBLIC INSTRUCTION/State Board of Education 

Medical Board - 



12 NCAC 7D .0808 

15ANCAC 2H .0219 

15A NCAC 13B .1406, .1407, .1408, .1409 

16 NCAC 6D .0106 

21 NCAC 32H .0702 



AGENCY/DIVISION 



DHR/CMH/DD/SAS 



RULE NAME 



Scope 

Explanation of Terms 

Authorization 

Authorization 

Written Evaluation 

Additional Information 

Communication 

General Criteria 

Coordination 

Notification 

Placement of Clients 

Resolution of Differences 

Referrals of Minors 

Scope 

Definitions 

Written Consent 

Written Application 

Mandatory Screening 

Telephone Notification 



RULE 




ACTION 


10 NCAC 


15A 


.0115 


Amend 


10 NCAC 


15A 


.0116 


Amend 


10 NCAC 


15A 


.0117 


Amend 


10 NCAC 


15A 


.0118 


Amend 


10 NCAC 


15A 


.0119 


Amend 


10 NCAC 


15A 


.0120 


Amend 


10 NCAC 


15A 


.0121 


Amend 


10 NCAC 


15A 


.0122 


Amend 


10 NCAC 


15A 


.0123 


Amend 


10 NCAC 


15A 


.0124 


Amend 


10 NCAC 


15A 


.0125 


Amend 


10 NCAC 


15A 


.0126 


Amend 


10 NCAC 


15A 


.0127 


Adopt 


10 NCAC 


15A 


.0205 


Repeal 


10 NCAC 


15A 


.0206 


Repeal 


10 NCAC 


15A 


.0207 


Repeal 


10 NCAC 


15A 


.0208 


Repeal 


10 NCAC 


15A 


.0209 


Repeal 


10 NCAC 


15A 


.0210 


Repeal 


May 15, 1996 





11:4 



NORTH CAROLINA REGISTER 



257 



RULES REVIEW COMMISSION 



Referrals 


10 NCAC 


15A 


.0211 


Repeal 


Referrals 


10 NCAC 


15A 


.0212 


Repeal 


Use of Form 


10 NCAC 


15A 


.0213 


Repeal 


Screening 


10 NCAC 


15A 


.0214 


Repeal 


Written Agreements 


10 NCAC 


15A 


.0215 


Repeal 


Information 


10 NCAC 


15A 


.0216 


Repeal 


Notification 


10 NCAC 


15A 


.0217 


Repeal 


Sharing of Information 


10 NCAC 


15A 


.0218 


Repeal 


Ongoing Information 


10 NCAC 


15A 


.0219 


Repeal 


Failure of Area Program 


10 NCAC 


15A 


.0220 


Repeal 


Emergency Involuntary Commitment 


10 NCAC 


15A 


.0221 


Repeal 


Emergency Admissions 


10 NCAC 


15A 


.0222 


Repeal 


Area Program Procedures 


10 NCAC 


15A 


.0223 


Repeal 


Discharge Planning 


10 NCAC 


15A 


.0224 


Repeal 


Participants 


10 NCAC 


15A 


.0225 


Repeal 


Discharge of Minor 


10 NCAC 


15A 


.0226 


Repeal 


Discharge Planning 


10 NCAC 


15A 


.0227 


Repeal 


Discharge Plan Implementation 


10 NCAC 


15A 


.0228 


Repeal 


DEPARTMENT OF INSURANCE 










Cancer Insurance 


1 1 NCAC 


12 .0551 


Amend 


Organizational Structure 


11 NCAC 


12 .0901 


Adopt 


Written Utilization Review Plan 


1 1 NCAC 


12 .0918 


Adopt 


Telephone Accessibility 


11 NCAC 


12 .0919 


Adopt 


Claim Reserve 


11 NCAC 


16 .0703 


Amend 


Application 


11 NCAC 


21 .0101 


Adopt 


Financial Statements 


11 NCAC 21 .0102 


Adopt 


Determination 


11 NCAC 


21 .0103 


Adopt 


Service Contracts 


11 NCAC 


21 .0104 


Adopt 


Adjusting Claims 


11 NCAC 21 .0105 


Adopt 


Payment of Claims 


11 NCAC 


21 .0106 


Adopt 


General Administration 


11 NCAC 21 .0107 


Adopt 


Claims Administration 


11 NCAC 21 .0108 


Adopt 


Marketing and Sales 


11 NCAC 21 .0109 


Adopt 


Member Services 


11 NCAC 21 .0110 


Adopt 



DEHNR/ENVIRONMENTAL MANAGEMENT COMMISSION 

Fresh Surface Water Quality 



15A NCAC 2B .0216 



Amend 



DEHNR/MARINE FISHERIES COMMISSION 



Prohibited Fishing Activity 


15A NCAC 31 .0019 


Adopt 


Fishing Gear 


15A NCAC 3J .0401 


Amend 


DEHNR/COASTAL RESOURCES COMMISSION 






Purpose 


15A NCAC 7H .2301 


Adopt 


Approval Procedures 


15A NCAC 7H .2302 


Adopt 


Permit Fee 


15A NCAC 7H .2303 


Adopt 


General Conditions 


15A NCAC 7H .2304 


Adopt 


Specific Conditions 


15A NCAC 7H .2305 


Adopt 


DEHNR/WILDLIFE RESOURCES COMMISSION 






Permitted Archery Equipment 


15A NCAC 10B .0116 


Amend 


Prohibited Taking 


15A NCAC 10B .0201 


Amend 


Deer (White-Tailed) 


15A NCAC 10B .0203 


Amend 


Quail 


15A NCAC 10B .0208 


Amend 


Wild Turkey 


15A NCAC 10B .0209 


Amend 


Wildcat (Bobcat) 


15A NCAC 10B .0214 


Amend 



258 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



RULES REVIEW COMMISSION 



Nutria 


15A NCAC 10B .0220 


Amend 


Open Seasons 


15A NCAC 10B .0302 


Amend 


Bag Limits 


15A NCAC 10B .0303 


Amend 


General Regulations 


15A NCAC 10D .0002 


Amend 


Hunting on Game Lands 


15A NCAC 10D .0003 


Amend 


STATE BOARD OF EDUCATION 






Definitions 


16 NCAC 1A .0001 


Amend 


Organization of Department 


16 NCAC 1A .0003 


Amend 


School Calendar 


16 NCAC 6A .0001 


Repeal 


Suspension 


16 NCAC 6A .0002 


Repeal 


School Bus Drivers 


16 NCAC 6B .0001 


Repeal 


School Bus Maintenance 


16 NCAC 6B .0005 


Repeal 


School Bus Inspections 


16 NCAC 6B .0006 


Repeal 


Definitions 


16 NCAC 6C .0101 


Amend 


Criminal History Checks 


16 NCAC 6C .0313 


Amend 


Basic Education Program 


16 NCAC 6D .0102 


Repeal 


Exit Documents 


16 NCAC 6D .0104 


Repeal 


Testing Requirements 


16 NCAC 6D .0301 


Amend 


Test Administration 


16 NCAC 6D .0302 


Amend 


Attendance Defined 


16 NCAC 6E .0101 


Amend 


Attendance Excused 


16 NCAC 6E .0102 


Amend 


Involuntary Suspensions 


16 NCAC 6E .0104 


Amend 


Interscholastic Athletics 


16 NCAC 6E .0202 


Amend 


Local School 


16 NCAC 6G .0301 


Repeal 


Differentiated Pay 


16 NCAC 6G .0302 


Repeal 


Flexible Funding 


16 NCAC 6G .0303 


Amend 


Definitions 


16 NCAC 6H .0001 


Amend 


Non-Instructional Special Education 


16 NCAC 6H .0006 


Amend 


Special Education Assessment 


16 NCAC 6H .0007 


Amend 


Surrogate Parents 


16 NCAC 6H .0008 


Amend 



DEPARTMENT OF REVENUE 

Dissolutions 



17 NCAC 5C .2101 



Amend 



RULES REVIEW OBJECTIONS 



ACUPUNCTURE LICENSrNG BOARD 



21 NCAC 1 .0709 - Procedure of Revocation of Licensure 
Agency Revised Rule 

AGRICULTURE 

Pesticide Board 

2 NCAC 9L . 1806 - Crop Advisor Expemption 
Agency Rexised Rule 

AUCTIONEERS COMMISSION 



RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 



04/18/96 
04/18/96 



03/21/96 
03/21/96 



21 NCAC 4B .0202 - Filing and Fees 

Agency Revised Rule 
21 NCAC 4B .0403 - Apprentice Auctioneer License 

Agency Revised Rule 
21 NCAC 4B .0602 - Advertising 

Agency Revised Rule 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 



11:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



259 



RULES REVIEW COMMISSION 



ENVIRONMENT, HEALTH, AND NATURAL RESOURCES 



Coastal Resources Commission 

15 A NCAC 7H .0208 - Use Standards 

Agency Revised Rule 

Rule Returned to Agency 

Agency Filed Rule for Codification Over RRC Objection 



RRC Objection 03/21/96 

Obj. Cont'd 03/21/96 

Obj. Cont'd 04/18/96 

Eff. 05/01/96 



Environmental Management 

15 A NCAC 2H .0219 - Minimum Design Requirements 



RRC Objection 04/18/96 



Commission for Health Services 

15A NCAC 13B . 1401 - Requirement for Permit RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 

15A NCAC 13B . 1402 - General Provisions for SW Compost Facilities RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 

15A NCAC 13B . 1404 - Siting/Design Requirements for SW Compost Facilities RRC Objection 04/18/96 

Agency Re\'ised Rule Obj. Removed 04/18/96 

15A NCAC 13B . 1405 - Application Requirements for SW Compost Facilities RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 

15A NCAC 13B . 1406 - Operational Requirements for Solid Waste Compost Facilities RRC Objection 04/18/96 

Agency Revised Rule Obj. Cont'd 04/18/96 

15A NCAC 13B . 1407 - Classification/Distribution of Solid Waste Compost Products RRC Objection 04/18/96 

Agency Revised Rule Obj. Cont'd 04/18/96 

15A NCAC 13B . 1408 - Methods for Testing and Reporting Requirements RRC Objection 04/18/96 

Agency Revised Rule Obj. Cont'd 04/18/96 

15 A NCAC 13B .1409 - Approval of Alternative Procedures and Requirements RRC Objection 04/18/96 

15A NCAC 18A .1723 - Springs RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 
15A NCAC 18A . 1727 - Continuous Disinfection 

Rule Withdrawn by Agency 04/18/96 
15 A NCAC 18A .1805 - Inspection Forms 

Rule Withdrawn by Agency 04/18/96 



Wildlife Resources Commission 

15A NCAC 10K .0001 - Course Requirements 

Agency Revised Rule 
15 A NCAC 10K .0003 - Instructor Certification Requirements 

Rule Withdrawn by Agency 



RRC Objection 
Obj. Removed 



03/21/96 
03/21/96 

03/21/96 



FEE-BASED PRACTICING PASTORAL COUNSELORS 



21 NCAC 45 .0201 - Information Required 

No Response from Agency 

Agency Revised Rule 
21 NCAC 45 .0301 - Types 

No Response from Agency 

Agency Revised Rule 
21 NCAC 45 .0402 - Second Notice 

No Response from Agency 

Agency Revised Rule 
21 NCAC 45 .0501 - Continuing Education Requirements 

No Response from Agency 

Agency Revised Rule 
21 NCAC 45 .0601 - Equivalency 

No Response from Agency 



RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 



02/15/96 
03/21/96 
04/18/96 
02/15/96 
03/21/96 
04/18/96 
02/15/96 
03/21/96 
04/18/96 
02/15/96 
03/21/96 
04/18/96 
02/15/96 
03/21/96 



260 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



RULES REVIEW COMMISSION 



Agency Revised Rule 
21 NCAC 45 .0701 - Issuance of Temporary Certificate 

No Response from Agency' 

Agency Revised Rule 
21 NCAC 45 .0802 - Types of Supervision 

Agency Revised Rule 

No Response from Agency 

Rule Returned to Agency 
21 NCAC 45 .0901 - Requirements for Individual Psychotherapy Experience 

Agency Revised Rule 

No Response from Agency 

Rule Returned to Agency 
21 NCAC 45 .1001 - Code of Ethics 

No Response from Agency- 
Rule Returned to Agency 



Ohj. Removed 
RRC Objection 
Obf Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
Obj. Cont'd 
Obj. Cont'd 
RRC Objection 
Obj. Cont'd 
Obj. Cont'd 
Obj. Cont'd 
RRC Objection 
Obj. Cont'd 
Obj. Cont'd 



04/18/96 
02/15/96 
03/21/96 
04/18/96 
02/15/96 
02/15/96 
03/21/96 
04/18/96 
02/15/96 
02/15/96 
03/21/96 
04/18/96 
02/15/96 
03/21/96 
04/18/96 



HEARING AID DEALERS AND FITTERS BOARD 

21 NCAC 22L .0001 - Committee on Investigations 
RRC Reviewed Rule 
Agency Revised Rule 

HUMAN RESOURCES 



Extended Review 
RRC Objection 
Obj. Removed 



01/18/96 
02/15/96 
03/21/96 



Medical Care Commission 

10 NCAC 3C .5401 - Definitions RRC Objection 01/18/96 

Agency Responded Obj. Cont'd 02/15/96 

Rule Returned to Agency Obj. Cont'd 03/21/96 

Agency Filed Rule for Codification Over RRC Objection Eff. 05/01/96 

10 NCAC 3C .5402 - Physician Req for Inpatient Rehabilitation Facilities or Units RRC Objection 01/18/96 

Agency Responded Obj. Cont 'd 02/15/96 

Rule Returned to Agency Obj. Cont'd 03/21/96 

Agency Filed Rule for Codification Over RRC Objection Eff. 05/01/96 

10 NCAC 3C .5407 - Comprehensive Rehabilitation Personnel Administration RRC Objection 01/18/96 

Agency Responded Obj. Cont'd 02/15/96 

Rule Returned to Agency Obj. Cont'd 03/21/96 

Agency Filed Rule for Codification Over RRC Objection Eff. 05/01/96 

10 NCAC 3C .5408 - Comprehensive Inpatient Rehabilitation Program Staffing Req. RRC Objection 01/18/96 

Agency Responded Obj. Cont'd 02/15/96 

Rule Returned to Agency Obj. Cont'd 03/21/96 

Agency Filed Rule for Codification Over RRC Objection Eff. 05/01/96 

10 NCAC 3C .5409 - Staff Training for Inpatient Rehabilitation Facilities or Unit RRC Objection 01/18/96 

Agency Responded Obj. Cont'd 02/15/96 

Rule Returned to Agency Obj. Cont'd 03/21/96 

Agency Filed Rule for Codification Over RRC Objection Eff. 05/01/96 

10 NCAC 3C .5412 - Additional Requirements for Traumatic Brain Injury Patients RRC Objection 01/18/96 

Agency Responded Obj. Cont'd 02/15/96 

Rule Returned to Agency Obj. Cont'd 03/21/96 

Agency Filed Rule for Codification Over RRC Objection Eff. 05/01/96 

10 NCAC 3C .5413 - Additional Requirements for Spinal Cord Injury Patients RRC Objection 01/18/96 

Agency Responded Obj. Cont'd 02/15/96 

Rule Returned to Agency Obj. Cont'd 03/21/96 

Agency Filed Rule for Codification Over RRC Objection Eff. 05/01/96 

Commission for Mental Health, Developmental Disabilities and Substance Abuse Services 
10 NCAC ISA .0100 and .0200 

Rules Withdrawn by Agency 03/21/96 



11:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



261 



RULES REVIEW COMMISSION 



Social Services Commission 

10 NCAC 39D .0304 - Alternative Work Experience 

Agency Responded 

RRC Reconsidered this Rule 
10 NCAC 46D .0106 - Allocation 

Rule Withdrawn by Agency 
10 NCAC 46D .0107 - Reimbursement 

Rule Withdrawn by Agency 
10 NCAC 46D .0202 - Review Criteria for Start-Up Funds 

Rule Withdrawn by Agency 



Extended Review 
RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
RRC Objection 
Obj. Cont'd 
RRC Objection 
Obj. Cont'd 



01/18/96 
02/15/96 
03/21/96 
04/18/96 
01/18/96 
03/21/96 
01/18/96 
03/21/96 
01/18/96 
03/21/96 



INSURANCE 

Agent Services Division 

11 NCAC 6A .0904 - Regulatory Matters 
Agency Revised Rule 

Consumer Services Division 

11 NCAC 4 .0502 - Assumed Expenses and Current Scale 

Agency Revised Rule 
11 NCAC 4 .0505 - Standards for Basic Illustrations 

Agency Revised Rule 
11 NCAC 4 .0506 - Standards for Supplemental Illustrations 

Agency Revised Rule 

11 NCAC 4 .0509 - Annual Certifications 

Agency Rex'ised Rule 

JUSTICE 

Private Protective Services 

12 NCAC 7D .0808 - Concealed Weapons 

No Response from Agency 

MARITAL AND FAMILY THERAPY CERTIFICATION BOARD 

21 NCAC 31 .0102 - Address 

No Response from Agency 

Agency Repealed Rule 
21 NCAC 31 .0104- Fees 

No Response from Agency 

Agency Repealed Rule 
21 NCAC 31 .0304 - Subsequent Reexaminations 

No Response from Agency 

Rule Withdrawn by Agency 
21 NCAC 31 .0502 - Approved Supen'ision 

No Response from Agency 

Agency Revised Rule 

MEDICAL BOARD 



RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



RRC Objection 
Obj. Cont'd 



RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
Obj. Removed 
RRC Objection 
Obj. Cont'd 
Obj. Cont'd 
RRC Objection 
Obj. Cont'd 
Obj. Removed 



03/21/96 
03/21/96 



03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 



03/21/96 
04/18/96 



02/15/96 
03/21/96 
04/18/96 
02/15/96 
03/21/96 
04/18/96 
02/15/96 
03/21/96 
04/18/96 
02/15/96 
03/21/96 
04/18/96 



21 NCAC 32H .0101 - Authority: Intent and Goals 

Agency Repealed Rule 
21 NCAC 32H .0303 - Sponsor Hospital 

Agency Revised Rule 
21 NCAC 32H .0402 - Emergency Medical Technician-Paramedic Performance 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 



04/18/96 
04/18/96 
04/18/96 
04/18/96 
04/18/96 



262 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



RULES REVIEW COMMISSION 



Agency Revised Rule Obj. Removed 04/18/96 

21 NCAC 32H .0403 - Emergency Medical Technician-Intermediate Performance RRC Objection 04/18/96 

Agency Revised Rule Obj, Removed 04/18/96 

21 NCAC 32H .0406 - Emergency Medical Tech.: Advanced Intermediate Performance RRC Objection 04/18/96 

Agency Re\'ised Rule Obj. Removed 04/18/96 

21 NCAC 32H .0702 - Requests RRC Objection 04/18/96 

NURSING 

21 NCAC 36 .0228 - Clinical Nurse Specialist Practice RRC Objection 03/21/96 

Agency Revised Rule Obj. Removed 03/21/96 

NURSING HOME ADMINISTRATORS 

21 NCAC 37C .0101 - Petitions for Adoption of Rules RRC Objection 03/21/96 

Agency Revised Rule Obj. Removed 03/21/96 

21 NCAC 37C .0102 - Procedure for Adoption of Rules RRC Objection 03/21/96 

Agency Revised Rule Obj. Removed 03/21/96 

21 NCAC 37D .0412 - Initial On-the-Job Training RRC Objection 03/21/96 

Agency Revised Rule Obj. Removed 03/21/96 

21 NCAC 37F .0101 - Prerequisites for Temporary Licensure RRC Objection 03/21/96 

Agency Re\ised Rule Obj. Removed 03/21/96 

21 NCAC 371 .0101 - Investigation: Discipline: and Contested Case Proceedings RRC Objection 03/21/96 

Agency Revised Rule Obj. Removed 03/21/96 

PUBLIC EDUCATION 



State Board of Education 

16 NCAC 6D .0106 - Limited English Proficiency Programs 

No Response from Agency 



RRC Objection 
Obj. Cont'd 



03/21/96 
04/18/96 



SECRETARY OF STATE 

Boxing Commission 

18 NCAC 9 .0101 - Purpose, Applicability and Scope of the Rules 

Agency Revised Rule 
18 NCAC 9 .0103 - North Carolina State Boxing Commission 

Agency Revised Rule 
18 NCAC 9 .0104 - Conduct of Boxing Matches 

Agency Rewrote Rule as 18 NCAC 9 .0104 through .0109 
18 NCAC 9 .0106 - Licensing Requirements and Duties of Licensees 

Agency Re\ised Rule and Recodified to 18 NCAC 9 .0111 
18 NCAC 9 .0107 - Contracts and Financial Arrangements 

Agency Revised Rule and Recodified to 18 NCAC 9 .0112 
18 NCAC 9 .0108 - Kickboxing 

Agency Rewrote Rule as 18 NCAC 9 .0113 through .0116 
18 NCAC 9 .0117 - Toughman Match 

Agency Revised Rule 

SUBSTANCE ABUSE PROFESSIONALS 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
03/21/96 
04/18/96 
04/18/96 



21 NCAC 68 .0101 - Definitions 

Agency Re\'ised Rule 
21 NCAC 68 .0206 - Process for Prevention Consultant Certification 

Agency Revised Rule 
21 NCAC 68 .0403 - Employer Insen-ice Event 

Agency Revised Rule 



RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 
RRC Objection 
Obj. Removed 



04/18/96 
04/18/96 
04/18/96 
04/18/96 
04/18/96 
04/18/96 



11:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



263 



RULES REVIEW COMMISSION 



VETERINARY MEDICAL BOARD 

21 NCAC 66 

Rules Withdrawn by Agency 03/21/96 

21 NCAC 66 .0203 - License Required to Practice; Faculty Cert.; Zoo Veterinary Cert. RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 

21 NCAC 66 .0206 - Minimum Standards for Continuing Education RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 

21 NCAC 66 .0207 - Minimum Facility and Practice Standards RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 

21 NCAC 66 .0301 - Application and Examination RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 

21 NCAC 66 . 0303 - SPCL/REG. /VET. /TECH. /INTERNS/PRECEP.REN/TECH. /REG RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 

21 NCAC 66 .0606 - Who Shall Hear Contested Cases RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 

21 NCAC 66 .0703 - Subpoenas RRC Objection 04/18/96 

Agency Revised Rule Obj. Removed 04/18/96 



264 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



CONTESTED CASE DECISIONS 



1 his Section contains the full text of some of the more significant Administrative Law Judge decisions along with an 
index to all recent contested cases decisions which are filed under North Carolina's Administrative Procedure Act. 
Copies of the decisions listed in the index and not published are available upon request for a minimal charge by 
contacting the Office of Administrative Hearings, (919) 733-2698. 



OFFICE OF ADMINISTRATIVE HEARINGS 

Chief Administrative Law Judge 

Julian Mann, III 

Senior Administrative Law Judge 

Fred G. Morrison, Jr. 

ADMINISTRATIVE LA W JUDGES 



Brenda B. Becton 
Sammie Chess Jr. 
Beecher R. Gray 
Meg Scott Phipps 



Robert Roosevelt Reilly Jr. 
Dolores Nesnow Smith 
Thomas R. West 



DECISION 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED 
REGISTER CITATION 



ALCOHOLIC BEVERAGE CONTROL COMMISSION 



Fuad Saif Murshed v. Ale. Bev. Ctl. Comm. &. Durham Mem. 8apt. Ol 
Alcoholic Beverage Control Commission v. Tremik, Inc. 
Alcoholic Beverage Control Commission v. Maria Virginia Tramontano 
Alcoholic Beverage Control Commission v. Huffman Oil Co.. Inc. 
Pinakin P. Talate v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Commission v. Henry Franklin Gurganus 
Andrew Parker v. Alcoholic Beverage Control Commission 
Barraq Sabri Alquza v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Comm. v. Partnership T/A T &. L Groceries 
Alcoholic Beverage Control Commission v. Cashion's Food Mart, Inc. 
Bro Bee. Inc. v. Alcoholic Beverage Control Commission 
Alcoholic Beverage Control Commission v. Donald Ray Doak 
Alcoholic Beverage Control Commission v. Janice Lorraine Jeter 
George Wright and Alice Ramsuer v. Alcoholic Beverage Control Comm. 



95 ABC 0922 


Chess 


95 ABC 0925 


Morriosn 


95 ABC 


1200 


West 


95 ABC 


1251 


West 


95 ABC 


1329 


West 


95 ABC 


1389 


West 


95 ABC 


1402 


Phipps 


95 ABC 


1424 


Phipps 


95 ABC 


1443 


West 


95 ABC 


1444 


Gray 


95 ABC 


1480 


West 


95 ABC 


1488 


West 


96 ABC 0013 


Reilly 


96 ABC 0058 


Beeton 



04/24/96 
03/25/96 
04/23/96 
04/03/96 
04/10/96 
04/01/96 
03/27/96 
04/03/96 
03/26/96 
03/13/96 
04/15/96 
03/29/96 
04/26/96 
04/16/96 



11:03 NCR 166 



CRIM>: CONTROL AND PUBLIC SAFETY 

Helen B. Hunter-Reid v. Crime Victims Compensation Commission 
Kenneth Saunders v. Victims Compensation Commission 
Ruby H. Ford v. Crime Victims Compensation Commission 
Manuel Cervantes v. Victims Compensation Fund 

ENVIRONMENT, HEALTH. AND NATURAL RESOURCES 



95 CPS 1336 


Nesnow Smith 


03/29/96 


95 CPS 1445 


Chess 


03/26/96 


96 CPS 0110 


Reilly 


04/18/96 


96 CPS 0118 


Chess 


03/19/96 



1 1 :02 NCR 93 



Gribble & Assoc. & Four Seasons Car Wash v. EHNR 
Kinston Urological Associates, P. A. v. N.C. Cancer Program 
Kinston Urological Associates, P. A. v. N.C. Cancer Program 
Elsie &. Tony Ceeehini v. Environment, Health, & Natural Resources 



95 EHR 0576 


Gray 


04/25/96 






95 EHR 1198* : 


Nesnow Smith 


03/27/96 


11:02 NCR 


97 


95 EHR 1199* : 


Nesnow Smith 


03/27/96 


11:02 NCR 


97 


95 EHR 1240 


Reilly 


04/22/96 







11:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



265 



CONTESTED CASE DECISIONS 



AGENCY 



CASE 
NUMBER 



ALJ 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



96 EHR 0074 



95 EHR 1078 



95 EHR 0320 

96 EHR 0003 



Coastal Resources 

J. E. Smith Construction Co. v. Division of Coastal Management 

Environmental Management 

Herman E. Smith v. Division of Environmental Management 

Conover Lumber Co., Inc. v. EHNR, Division of Environmental Mgmt. 

Jack West d/b/a Jack West Tree Service v. Environmental Mgmt. Comm. 

Land Resources 

K&G Properties, Inc. v. EHNR, Division of Land Resources 

Marine Fisheries 

Robert I. Swinson, Sr. v. EHNR, Health & Nat. Res., Marine Fisheries 
Grayden L. Fulcher and Michael Styron, Sr. v. Div. of Marine Fisheries 

W1C Program 

Lazelle Marks v. EHNR, Division of Maternal and Child Health 
Bob's Quick Mart, Bobby D. Braswell v. Env., Health, & Natural Res. 
Larry E. Mis v. USDA-Food/Cons Svc, Cory Menees-WIC Prog., EHNR 

HUMAN RESOURCES 

Cassandra M. Deshazo v. Christine E. Carroll, Chf Chid Abuse/Neg. Sec. 95 DHR 1410 
Medicus Robinson v. Department of Human Resources 96 DHR 0167 

Division of Child Development 

Mary T. Hill v. DHR, Division of Child Development 95 DHR 1192 

Division of Facility Services 

Eloise Brown v. Dept. of Human Resources, Division of Facility Services 95 DHR 1002 

Group Care Licensure Section 



Nesnow Smith 



Nesnow Smith 



Chess 
Reilly 



Phipps 
Nesnow Smith 



Phipps 



Phipps 



Nesnow Smith 


03/12/96 


Morrison 


03/19/96 


Phipps 


03/15/96 


Morrison 


03/19/96 


Gray 


04/11/96 


Gray 


04/26/96 



Alex L. McCall v. DHR, Div/Facility Svcs, Group Care Licensure Set. 95 DHR 1456 Nesnow Smith 
Division of Social Services 



Rozena Chambliss v. Department of Human Resources 95 DHR 1044 

Addie &. Major Short v. Department of Human Resources 95 DHR 1063 

Mr. and Mrs. Jessie Stevenson v. DHR, Division of Social Services 95 DHR 1072 

William G. Fisher v. DHR, Div. of Social Services, Prog Integrity Branch 95 DHR 1234 
Verna F. Nunn v. Department of Human Resources 95 DHR 1330 

Nancy Hooker, Helen Tyndall v. Department of Human Resources 96 DHR 0155 



Child Support Enforcement Section 

Donald E. Rideout Jr. v. Department of Human Resources 
Richard R. Fox, Sr. v. Department of Human Resources 
Joselito D. Pilar v. Department of Human Resources 
David Lee Grady v. Department of Human Resources 
Patrick Orlando Crump v. Department of Human Resources 
Peter Robert Kovolsky v. Department of Human Resources 
Lawrence Dow Dean v. Department of Human Resources 
Carl E. Coffey v. Department of Human Resources 
Keith Dewayne Senters v. Department of Human Resources 
Mickey Turner v. Department of Human Resources 
James Joseph Gallagher v. Department of Human Resources 
James Thomas McRae v. Department of Human Resources 
David J. Moseley v. Department of Human Resources 
Derrick L. Conyers v. Department of Human Resources 
Charles Edward Smith v. Department of Human Resources 



02/23/96 



95 EHR 0962 


West 


04/30/96 


95 EHR 1081 


Reilly 


04/12/96 


95 EHR 1421 


Morrison 


04/08/96 



03/25/96 



03/29/96 
03/06/96 



95 EHR 0870 


West 


03/27/96 


96 EHR 0091 


Nesnow Smith 


04/02/96 


96 EHR 0164 


Phipps 


03/19/96 



03/28/96 
04/12/96 



03/27/96 



03/07/96 



03/26/96 



95 CSE 0952 


Reilly 




04/18/96 


95 CSE 


1169 


Becton 




03/19/96 


95 CSE 


1180 


Chess 




03/01/96 


95 CSE 


1218 


Morrison 




03/26/96 


95 CSE 


1221 


Nesnow S 


ruth 


03/05/96 


95 CSE 


1230 


Becton 




03/11/96 


95 CSE 


1267 


Morrison 




03/29/96 


95 CSE 


1270 


Nesnow S 


riith 


03/15/96 


95 CSE 


1273 


Phipps 




04/01/96 


95 CSE 


1278 


Nesnow S 


nith 


03/14/96 


95 CSE 


1280 


Chess 




03/19/96 


95 CSE 


1296 


Chess 




03/15/96 


95 CSE 


1304 


Chess 




03/29/96 


95 CSE 


1308 


Reilly 




03/13/96 


95 CSE 


1309 


West 




03/07/96 



11:03 NCR 168 



266 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



CONTESTED CASE DECISIONS 



AGENCY 



James Curtis Witwer v. Department of Human Resources 

Thornell Bowden v. Department of Human Resources 

Henry S. Sada v. Department of Human Resources 

Charles F. Moore v. Department of Human Resources 

Daniel Leslie Baker v. Department of Human Resources 

John L. Pike v. Department of Human Resources 

Wm. R. Evans v. Department of Human Resources 

Rory J Curry v. Department of Human Resources 

Lorin A. Brown v. Department of Human Resources 

Marcus Anthony Butts v. Department of Human Resources 

Cynthia Pinder v. Department of Human Resources 

Ramon Domenech v. Department of Human Resources 

Dennis L. McNeill v. Department of Human Resources 

Rick E. Atkins v. Department of Human Resources 

Timothy A. Ratley (Jeanes) v. Department of Human Resources 

Richard E. Reader v. Department of Human Resources 

Wilbur Dewayne Bault v. Department of Human Resources 

Ronald D. Johnson v. Department of Human Resources 

John W. Scott v. Department of Human Resources 

Jeanne G. Bishop v. Department of Human Resources, Child Sup. Enf. 

Rebecca Beaver v. Department of Human Resources, Child Sup. Enf. 

Laura Heidorf v. Department of Human Resources, Child Support Enf. 

INSURANCE 



CASE 






DATE OF 


NUMBER 


ALJ 




DECISION 


95 CSE 


1331 


Becton 




03/26/96 


95 CSE 


1345 


Morrison 




03/07/96 


95 CSE 


1367 


Nesnow S 


Tiith 


03/21/96 


95 CSE 


1369 


Chess 




03/27/96 


95 CSE 


1373 


Morrison 




03/12/96 


95 CSE 


1376 


Nesnow S 


nith 


03/21/96 


95 CSE 


1377 


Becton 




03/11/96 


95 CSE 


1380 


Mann 




03/15/96 


95 CSE 


1382 


Reilly 




04/18/96 


95 CSE 


1405 


Nesnow S 


nith 


03/27/96 


95 CSE 


1406 


Becton 




03/11/96 


95 CSE 


1408 


Phipps 




03/11/96 


95 CSE 


1435 


Becton 




03/13/96 


95 CSE 


1437 


Phipps 




04/01/96 


95 CSE 


1465 


Morrison 




03/26/96 


95 CSE 


1469 


Nesnow Smith 


04/29/96 


95 CSE 


1475 


West 




03/13/96 


96 CSE 0084 


Nesnow Smith 


03/27/96 


96 CSE 0130 


Mann 




03/15/96 


95 DCS 0958 


West 




04/04/96 


95 DCS 


1114 


Reilly 




04/26/96 


96 DCS 0065 


Reilly 




03/22/96 



PUBLISHED DECISION 
REGISTER CITATION 



Carol M. Hall v. Teachers &. State Employees Comp. Major Medical Plan 95 INS 1141 
Arthur Wayne Dempsey v. Department of Insurance 95 INS 1255 

Nadia A. Hakim v. Department of Insurance 95 INS 1422 

JUSTICE 

Education and Training Standards Division 

Freddie Levern Thompson v. Criml. Justice Ed. &. Training Stds. Comm. 
Valerie Maxine Brewington v. Criml. Justice Ed. & Training Stds. Comm. 
Patricia Josephine Bonanno v. Sheriffs' Ed. & Training Stds. Comm. 
Rick M. Evoy v. Criminal Justice Ed. & Training Stds. Comm. 
Gregory Lee Daughtridge v. Sheriffs' Ed. & Training Stds. Comm. 
Carlton Gerald v. Criminal Justice Ed. & Training Stds. Comm. 
Ken Montie Oxendine v. Criminal Justice Ed. & Training Stds. Comm. 
David Kent Knight v. Sheriffs* Ed. & Training Stds. Comm. 

Private Protective Services Board 



Phipps 

Nesnow Smith 
Nesnow Smith 



04/01/96 
04/22/96 
03/26/96 



95 DOJ 0731 


Chess 


02/29/96 


95 DOJ 1 129 


Nesnow Smith 


04/12/96 


95 DOJ 1152 


Chess 


03/25/96 


95 DOJ 1235 


Chess 


03/25/96 


96 DOJ 0027 


Reilly 


03/19/96 


96 DOJ 0068 


Gray 


03/26/96 


96 DOJ 0071 


West 


03/28/96 


96 DOJ 0115 


West 


03/28/96 



Timothy A. Hawkins v. Private Protective Services Board 
William F. Combs v. Private Protective Services Board 



95 DOJ 1419 

96 DOJ 0022 



West 
West 



04/12/96 
03/22/96 



PUBLIC INSTRUCTION 



Lavern K. Suggs v. NC Board of Education 95 EDC 0383 

J.T.S. & T.S.. Parents of EMS. v. Chapel Hill-Carrhoro City Schl. Sys. 95 EDC 1 194 

STATE PERSONNEL 

Department of Administration 

Carlton Gerald v. State Capitol Police, Department of Administration 96 OSP 0116 

Administrative Office of the Court 

Ethel R. Tyson v. NC Judicial Dept., Administrative Office of the Court 96 OSP 0080 



Nesnow Smith 
Mann 



Gray 



Nesnow Smith 



03/13/96 
04/12/96 



11:01 NCR 50 



04/25/96 



03/15/96 



11:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



267 



CONTESTED CASE DECISIONS 



ACKM V 



CASE 
NUMBER 



AU 



DATE OF 
DECISION 



PUBLISHED DECISION 
REGISTER CITATION 



Appalachian Stale University 

Janice S. Walton v. Appalachian St University, Claude Cooper, Bill Ragan96 
Janice S. Carroll v. Appalachian St University. Claude Cooper, Bill Ragan96 



OSP 0062 
OSP 0063 



Caldwell County 

Blake C. Pace v. Caldwell County 96 OSP 0047 

XC Central University 

Francina Y. Tate v. Chancellor Julius L. Chambers, NC Central Univ. 95 OSP 1432 

Department of Correction 

Haydee Craver v. Department of Correction, Pender Correctional Inst. 95 OSP 1046 

Brenda Propst v. Foothills Correctional Institution 96 OSP 0199 

Department of Environment, Health, and Satural Resources 

Roberta Ann "Robin" Hood v. Environment. Health, &. Natural Resources 95 OSP 0035 

Fayetteville State University 

William C. Neal v. Fayetteville State University 95 OSP 0392 

Department of Human Resources 

Ophelia Webb v. Edard R. Inman, Dir. Alamance Cty DSS, Alamance 96 OSP 0112 
Cty DSS, Alamance County, and DHR 

Caswell Center 

Ramona C. JenJdns v. Department of Human Resources, Caswell Center 89 OSP 0411 
Ramona C. Jenkins v. Department of Human Resources, Caswell Center 91 OSP 0522 
Franklin D. Sutton v. Department of Human Resources, Caswell Center 94 OSP 0766 

Department of Labor 

Kevin P. Kolbe, Sr. v. Department of Labor 

New Hanover County Board of Health 

Tabandeh Zand v. New Hanover County Board of Health 

Department of Transportation 

Pearlie M. Simuel-Johnson v. Department of Transportation 

Dorothy J. Grays v. Div. of Motor Vehicles, Dept. of Transportation 

Pearlie M. Simuel-Johnson v. Department of Transportation 

Melvin Duncan v. Department of Transportation 

Jesse Wayne Castle v. State Highway Maint., Guess Rd.. Durham, NC 

Tri-County Mental Health Complex 

Deborah Heil v. Tri-County Mental Health Complex 

University of Sorth Carolina 

Jerel H. Bonner v. School of Nursing UNC at Chapel Hill 

U>TVERSITY OF NORTH CAROLINA 

Sylvia Jeffries v. University of NC Hospitals at Chapel Hill 



95 OSP 0968 



95 OSP 1035 



West 
West 



Morrison 



Nesnow Smith 



Gray 

Morrison 



Reillv 



Nesnow Smith 



Gray 



Becton 
Becton 

Nesnow' Smith 



Morrison 



Nesnow Smith 



94 OSP 0589-' 


Grav 


94 OSP 1044 


Rcilly 


95 OSP 0837*' 


Gray 


95 OSP 1462 


Morrison 


96 OSP 0087 


Gray 



95 OSP 1100 



96 OSP 0026 



Nesnow Smith 



Grav 



96 UNC 0067 Grav 



03/13/96 
03/07/96 



04/01/96 



04/22/96 



03/12/96 
04/09/96 



04/09/96 



04/22/96 



03/13/96 



03/26/96 
03/26/96 
03/21/96 



03/14/96 



03/01/96 



03/01/96 
04/12/96 
03/01/96 
03/08/96 
04/15/96 



03/22/96 



03/12/96 



04/16/96 



11:02 NCR 89 



11:01 NCR 58 



11:03 NCR 173 



11:01 NCR 61 



* Consolidated cases. 



268 



NORTH CAROLINA REGISTER 



May 15, 1996 



11:4 



NORTH CAROLINA ADMINISTRATIVE CODE CLASSIFICATION SYSTEM 



1 he North Carolina Administrative Code (NCAC) has four major subdivisions of rules. Two of these, 
titles and chapters, are mandatory. The major subdivision of the NCAC is the title. Each major 
department in the North Carolina executive branch of government has been assigned a title number. Titles 
are further broken down into chapters which shall be numerical in order. The other two, subchapters and 
sections are optional subdivisions to be used by agencies when appropriate. 



TITLE/MAJOR DIVISIONS OF THE NORTH CAROLINA ADMINISTRATIVE CODE 
TITLE DEPARTMENT LICENSING BOARDS CHAPTER 



1 


Administration 


Acupuncture 


1 


2 


Agriculture 


Architecture 


2 


3 


Auditor 


Auctioneers 


4 


4 


Commerce 


Barber Examiners 


6 


5 


Correction 


Certified Public Accountant Examiners 


8 


6 


Council of State 


Chiropractic Examiners 


10 


7 


Cultural Resources 


General Contractors 


12 


8 


Elections 


Cosmetic Art Examiners 


14 


9 


Governor 


Dental Examiners 


16 


10 


Human Resources 


Dietetics/Nutrition 


17 


11 


Insurance 


Electrical Contractors 


18 


12 


Justice 


Electrolysis 


19 


13 


Labor 


Foresters 


20 




Crime Control & Public Safety 


Geologists 


21 


14A 


Environment, Health, and Natural 


Hearing Aid Dealers and Fitters 


22 




Resources 


Landscape Architects 


26 


15A 


Public Education 


Landscape Contractors 


28 




Revenue 


Marital and Family Therapy 


31 


16 


Secretary of State 


Medical Examiners 


32 


17 


Transportation 


Midwifery Joint Committee 


33 


18 


Treasurer 


Mortuary Science 


34 




Occupational Licensing Boards 


Nursing 


36 


19A 


Administrative Procedures 


Nursing Home Administrators 


37 


20 


Community Colleges 


Occupational Therapists 


38 


*21 


Independent Agencies 


Opticians 


40 


22 


State Personnel 


Optometry 


42 


23 


Administrative Hearings 


Osteopathic Examination & Reg. (Repealed) 


44 


24 


NC State Bar 


Pastoral Counselors, Fee-Based Practicing 


45 


25 




Pharmacy 


46 


26 




Physical Therapy Examiners 


48 


27 




Plumbing, Heating & Fire Sprinkler Contractors 


50 






Podiatry Examiners 


52 






Professional Counselors 


53 






Practicing Psychologists 


54 






Professional Engineers & Land Surveyors 


56 






Real Estate Appraisal Board 


57 






Real Estate Commission 


58 






Refrigeration Examiners 


60 






Sanitarian Examiners 


62 






Social Work Certification 


63 






Soil Scientists 


69 






Speech & Language Pathologists & Audiologists 


64 






Substance Abuse Professionals 


68 






Therapeutic Recreation Certification 


65 






Veterinary Medical Board 


66 



Note: Title 21 contains the chapters of the various occupational licensing boards. 



11:4 



NORTH CAROLINA REGISTER 



May 15, 1996 



269 






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T 



BARCLAYS OFFICIAL NORTH CAROLINA ADMINISTRATIVE CODE - 1995 



DESCRIPTION 





ONE-TIME 


ANNUAL 




PURCHASE 


SUBSCRIPTION 


CODE 


PRICE 


PRICE 


201 00 00 


$63.00 


$90.00 


201 10 05 


$21.00 


$30.00 


201 10 33 


$17.50 


$25.00 


202 00 00 


$98.00 


$140.00 


202 15 09 


$28.00 


$40.00 


202 1 5 34 


$21.00 


$30.00 


202 1 5 43 


$21.00 


$30.00 


202 15 48 


$21.00 


$30.00 


202 15 52 


$21.00 


$30.00 


203 00 00 


$7.00 


$10.00 


204 00 00 


$87.50 


$125.00 


204 1 5 02 


$12.00 


$40.00 


204 1 5 03 


$24.50 


$35.00 


204 1 5 06 


$14.00 


$20.00 


204 1 5 09 


$14.00 


$20.00 


204 15 10 


$14.00 


$20.00 


204 15 16 


$24.50 


$35.00 


205 00 00 


$56.00 


$80.00 


205 1 5 02 


$24.50 


$35.00 


206 00 00 


$21.00 


$30.00 


207 00 00 


$21.00 


$30.00 


208 00 00 


$7.00 


$10.00 


209 00 00 


$31.50 


$45.00 


210 00 00 


$346.50 


$495.00 


210 20 10 


$45.50 


$65.00 


210 20 20 


$31.50 


$45.00 


210 20 30 


$77.00 


$110.00 


210 20 40 


$119.00 


$170.00 


210 20 41 


$31.50 


$45.00 


210 20 42 


$31.50 


$45.00 


210 20 43 


$28.00 


$40.00 


210 20 44 


$17.50 


$25.00 


210 20 45 


$35.00 


$50.00 


211 00 00 


$63.00 


$90.00 


211 1001 


$56.00 


$80.00 


211 1004 


$24.50 


$35.00 


211 1005 


$17.50 


$25.00 


211 10 06 


$28.00 


$40.00 


211 1008 


$21.00 


$30.00 


212 00 00 


$63.00 


$90.00 


212 10 07 


$21.00 


$30.00 


212 10 09 


$31.50 


$45.00 


212 10 11 


$17.50 


$25.00 


213 00 00 


$77.00 


$110.00 


213 15 06 


$14.00 


$20.00 


213 20 00 


$31.50 


$45.00 


213 15 12 


$14.00 


$20.00 


213 15 13 


$14.00 


$20.00 


213 15 14 


$14.00 


$20.00 


213 15 15 


$14.00 


$20.00 


214 00 00 


$31.50 


$45.00 


214 00 08 


$17.50 


$25.00 


214 00 11 


$14.00 


$20.00 


215 00 00 


$276.50 


$395.00 


215 15 00 


$115.60 


$165.00 


215 15 10 


$49.00 


$70.00 


215 15 20 


$49.00 


$70.00 


216 15 30 


$56.00 


$80.00 


215 15 31 


$35.00 


$50.00 


215 15 32 


$17.50 


$25.00 



Title 1 - Dept. of Administration 

Division of Purchase & Contract 
Federal Block Grant Funds 



Full Title 



Title 2 - Dept. of Agriculture - Full Title 

Food & Drug Protection Division 
Structural Pest Control Committee 
Agricultural Markets 
Plant Industry 
Animal Industry 

Title 3 - Dept. of State Auditor - Full Title 

Title 4 - Dept. of Commerce - Full Title 

Alcoholic Beverage Control Commission 

Banking Commission 

Credit Union Division 

Savings & Loan Division 

Industrial Commission/Workers Compensation 

Savings Institutions Division 



Title 5 - Dept. of Corrections 

Division of Prisons 



Full Title 



Title 6 - Council of State - Full Title 

Title 7 - Dept. of Cultural Resources - Full Title 

Title 8 - State Board of Elections - Full Title 

Title 9 - Offices of the Governor & Lt. Governor - Full Title 

Title 10 - Dept. of Human Resources - Full Title 

Licensing of Health Facilities 

Detention Facilities 

Mental Health & Rehabilitation Services 

Social Services 

Children Services/Day Care 

Services for the Aging 

Services for the Blind 

Services for the Deaf & Hard of Hearing 

Employment Opportunities 

Title 1 1 - Dept. of Insurance - Full Title 

Insurance 

Consumer Services 

Fire & Rescue Services 

Agent Services 

Engineering & Building Codes 

Title 12 - Dept. of Justice - Full Title 

Private Protective Services 

Police & Sheriff's Education & Training Standards 

NC Alarm Systems Licensing Board 

Title 13 - Dept. of Labor - Full Title 

Mine & Quarry Safety 

General Safety/OSHA 

Wage & Hour Rules 

Boiler & Pressure Vessel Safety 

Apprenticeship & Training 

Elevator & Amusement Device Safety 

Title 14A - Dept. of Crime Control & Public Safety - Full Title 
Alcohol Law Enforcement 
Victims Compensation Fund 

Title 15A - Dept. of Environ., Health, & Nat. Resources - Full Title 

Environmental Management 

Air Quality 

Water Quality 

Land & Waste Management 

Solid Waste Management 

Underground Storage Tanks 



DESCRIPTION 





ONE-TIME 


ANNUAL 




PURCHASE 


SUBSCRIPTION 


CODE 


PRICE 


PRICE 


215 15 40 


$31.50 


$45.00 


215 25 00 


$105.00 


$150.00 


215 25 10 


$42.00 


$60.00 


215 25 20 


$35.00 


$50.00 


215 25 30 


$59.50 


$85.00 


215 25 31 


$17.50 


$25.00 


216 00 00 


$21.00 


$30.00 


216 10 06 


$21.00 


$30.00 


217 00 00 


$91.00 


$130.00 


217 15 10 


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$45.00 


217 15 20 


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$80.00 


217 15 27 


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$45.00 


217 15 29 


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$30.00 


218 00 00 


$21.00 


$30.00 


218 1006 


$21.00 


$30.00 


219 00 00 


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$90.00 


219 10 02 


$28.00 


$40.00 


219 10 03 


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$50.00 


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225 00 00 


$42.00 


$60.00 


226 00 00 


$7.00 


$10.00 


227 00 00 


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$375.00 


$750.00 


266 00 00 




$750.00 


266 50 00 




$250.00 


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$295.00 


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